Individual Firm
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CAROLINE SUE AGUILAR
CAROLINE SUE PADIA, CAROLINE SUE WHITNEY
CRD#: 2896350
IA
B
UBS FINANCIAL SERVICES INC.CRD#: 8174 3711 JOHN F. KENNEDY PARKWAY
STE 430
FORT COLLINS, CO 80525
STE 430
FORT COLLINS, CO 80525
View By:
2/14/2018
Financial
Final
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
B
B
B
B
B
B
B
B
B
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IA
Registered with this firm since 11/12/2008
B
Registered with this firm since 11/12/2008
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/02/2008 - 11/25/2008 | FORT COLLINS, CO | |
B | 07/11/2007 - 11/25/2008 | FORT COLLINS, CO |
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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.
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