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RAYMOND CHARLES KLAHNE
CRD#: 2165292
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 712 SOUTH EAST OCEAN BLVD.
GROUND FLOOR
STUART, FL 34994
Registration History
19952000200520102015202020252 FIRMS1991 - 2008 (17 years)2 FIRMS2008 - Present (16 years)
License(s)

State Registrations

B
Arizona 1/4/2011

B
Michigan 6/4/2014

B
California 11/14/2008

B
New Jersey 11/14/2008

B
Colorado 4/1/2015

B
New York 3/4/2016

IA
Colorado 10/29/2018

B
North Carolina 11/14/2008

B
Connecticut 11/14/2008

B
Ohio 11/14/2008

B
Florida 11/14/2008

B
Oklahoma 11/20/2023

IA
Florida 11/21/2008

B
Pennsylvania 11/14/2008

B
Illinois 3/4/2016

B
Texas 11/14/2008

B
Kentucky 8/6/2014

IA
Texas 11/14/2008

B
Maine 6/28/2021

B
Virginia 10/31/2024

B
Maryland 11/14/2008

B
Washington 1/24/2020

B
Massachusetts 3/4/2016

B
Wisconsin 4/24/2013

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
712 SOUTH EAST OCEAN BLVD. GROUND FLOOR, STUART, FL 34994
90 SOUTH CASCADE AVE SUITE 930, COLORADO SPRINGS, CO 80903
Registered with this firm since 11/14/2008

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
712 SOUTH EAST OCEAN BLVD. GROUND FLOOR, STUART, FL 34994
90 SOUTH CASCADE AVE SUITE 930, COLORADO SPRINGS, CO 80903
Registered with this firm since 11/14/2008

Previous Registration(s)
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IA
09/10/1991 - 11/18/2008 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) STUART, FL
B
09/05/1991 - 11/18/2008 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) STUART, FL
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.