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Detailed Report
AMY KRINGS
AMY RENEE KRINGS, AMY RENEE RAMAEKERS
CRD#: 3073021
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 8415 Maddox Drive
Suite 101
Lincoln, NE 68520
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2007 - 2008 (1 year)2 FIRMS2008 - Present (16 years)BMORGAN STANLEY DW INC. (CRD# 7556)1999 - 2007 (7 years)BU.S. BANCORP PIPER JAFFRAY INC. (CRD# 665)1998 - 1999 (1 year)IAMORGAN STANLEY (CRD# 7556)2005 - 2007 (1 year)
License(s)

State Registrations

B
Arizona 1/31/2013
B
Montana 1/31/2013
B
Arkansas 1/31/2013
B
Nebraska 12/5/2008
B
California 1/31/2013
IA
Nebraska 12/10/2008
B
Colorado 4/5/2012
B
Nevada 1/31/2013
B
Delaware 1/7/2013
B
New Hampshire 1/31/2013
B
Florida 1/31/2013
B
North Carolina 3/15/2022
B
Illinois 1/31/2013
B
North Dakota 1/31/2013
B
Indiana 1/31/2013
B
Ohio 10/7/2010
B
Iowa 1/8/2010
B
Oklahoma 1/31/2013
B
Kansas 1/31/2013
B
Pennsylvania 1/18/2022
B
Louisiana 1/30/2018
IA
Texas 12/5/2008
B
Massachusetts 10/20/2009
B
Virginia 3/21/2023
B
Michigan 1/31/2013
B
Washington 1/31/2013
B
Minnesota 1/31/2013
B
West Virginia 3/21/2023
B
Missouri 1/31/2013
B
Wyoming 9/17/2010

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

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)
8415 Maddox Drive Suite 101, Lincoln, NE 68520
Registered with this firm since 12/5/2008
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
8415 Maddox Drive Suite 101, Lincoln, NE 68520
Registered with this firm since 12/5/2008
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/02/2007 - 12/08/2008 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) LINCOLN, NE
B
 04/02/2007 - 12/08/2008 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) LINCOLN, NE
IA
 09/30/2005 - 04/02/2007 MORGAN STANLEY (CRD#:7556) LINCOLN, NE
B
 10/08/1999 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) LINCOLN, NE
B
 08/20/1998 - 11/04/1999 U.S. BANCORP PIPER JAFFRAY INC. (CRD#:665) MINNEAPOLIS, MN
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.