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Detailed Report
ROLAND OLAF VONWINCKELMANN
ROLAND O VONWINCKELMANN
CRD#: 2727942
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 200 S LOS ROBLES AVENUE
SUITE 600
PASADENA, CA 91101
Registration History
1996199820002002200420062008201020122014201620182020202220242026IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2000 - Present (25 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)1999 - Present (25 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1996 - 1999 (3 years)
License(s)

State Registrations

B
California 12/10/1999
B
New York 12/7/2021
IA
California 1/3/2000
B
Oklahoma 2/1/2022
B
Colorado 4/28/2004
B
Texas 2/1/2022
B
Florida 7/5/2018
IA
Texas 9/5/2023
B
Hawaii 1/11/2018
B
Utah 11/20/2023
B
Idaho 6/26/2017
B
Virginia 10/24/2017
B
Montana 5/22/2023
B
Washington 9/12/2023
B
Nevada 1/8/2010

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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Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
200 S LOS ROBLES AVENUE SUITE 600, PASADENA, CA 91101
251 South Lake Avenue 10th Floor, PASADENA, CA 91101
Registered with this firm since 1/3/2000
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
200 S LOS ROBLES AVENUE SUITE 600, PASADENA, CA 91101
251 South Lake Avenue 10th Floor, PASADENA, CA 91101
Registered with this firm since 12/10/1999
Previous Registration(s)
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B
 05/09/1996 - 12/15/1999 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.