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Detailed Report
CAROLINE SUE AGUILAR
CAROLINE SUE PADIA, CAROLINE SUE WHITNEY
CRD#: 2896350
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 3711 JOHN F. KENNEDY PARKWAY
STE 430
FORT COLLINS, CO 80525
Registration History
20082010201220142016201820202022202420262 FIRMS2008 - Present (16 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2007 - 2008 (1 year)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2008 - 2008 (<1 year)
Disclosure(s)
View By:
2/14/2018
Financial
Final
License(s)

State Registrations

B
California 11/12/2008
IA
Colorado 11/12/2008
B
Colorado 11/12/2008
B
Wyoming 11/12/2008

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

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

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)
3711 JOHN F. KENNEDY PARKWAY STE 430, FORT COLLINS, CO 80525
Fort Collins, CO
Registered with this firm since 11/12/2008
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
3711 JOHN F. KENNEDY PARKWAY STE 430, FORT COLLINS, CO 80525
Fort Collins, CO
Registered with this firm since 11/12/2008
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/02/2008 - 11/25/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) FORT COLLINS, CO
B
 07/11/2007 - 11/25/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) FORT COLLINS, CO
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.