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ERIK LEE PUFFENBERGER
CRD#: 3163791
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 5007 HORIZONS DRIVE
COLUMBUS, OH 43220
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2006 - 2007 (<1 year)2 FIRMS2007 - Present (17 years)BJPMORGAN DISTRIBUTION SERVICES... (CRD# 104234)2001 - 2006 (4 years)BONE GROUP SERVICES COMPANY (THE) (CRD# 37059)2000 - 2000 (<1 year)BMPI FINANCIAL (CRD# 44361)1999 - 2000 (1 year)IAJPMORGAN ASSET MANAGEMENT (CRD# 107247)2004 - 2005 (1 year)
License(s)

State Registrations

B
Alabama 11/11/2024

B
Nebraska 11/11/2024

B
Alaska 11/15/2024

B
Nevada 11/15/2024

B
Arizona 11/15/2024

B
New Hampshire 11/11/2024

B
Arkansas 12/24/2024

B
New Jersey 11/11/2024

B
California 11/15/2024

B
New Mexico 11/15/2024

B
Colorado 11/15/2024

B
New York 11/15/2024

B
Connecticut 11/15/2024

B
North Carolina 11/15/2024

B
Delaware 11/15/2024

B
North Dakota 11/15/2024

B
District of Columbia 11/11/2024

B
Ohio 8/2/2007

B
Florida 11/4/2022

IA
Ohio 8/2/2007

B
Georgia 11/15/2024

B
Oklahoma 11/11/2024

B
Hawaii 12/24/2024

B
Oregon 11/11/2024

B
Idaho 11/15/2024

B
Pennsylvania 11/11/2024

B
Illinois 11/15/2024

B
Puerto Rico 12/24/2024

B
Indiana 11/11/2024

B
Rhode Island 11/15/2024

B
Iowa 11/15/2024

B
South Carolina 11/15/2024

B
Kansas 11/15/2024

B
South Dakota 11/11/2024

B
Kentucky 11/15/2024

B
Tennessee 11/15/2024

B
Louisiana 11/15/2024

B
Texas 11/15/2024

B
Maine 11/11/2024

B
Utah 11/11/2024

B
Maryland 11/11/2024

B
Vermont 11/11/2024

B
Massachusetts 11/11/2024

B
Virgin Islands 12/24/2024

B
Michigan 11/11/2024

B
Virginia 11/15/2024

B
Minnesota 11/15/2024

B
Washington 11/15/2024

B
Mississippi 11/15/2024

B
West Virginia 11/15/2024

B
Missouri 11/15/2024

B
Wisconsin 11/15/2024

B
Montana 11/11/2024

B
Wyoming 12/24/2024

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)
5007 HORIZONS DRIVE, COLUMBUS, OH 43220
5007 Horizons Drive Suite 200, Columbus, OH 43220-5288
Registered with this firm since 8/2/2007

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
5007 HORIZONS DRIVE, COLUMBUS, OH 43220
5007 Horizons Drive Suite 200, Columbus, OH 43220-5288
Registered with this firm since 7/26/2007

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
05/24/2006 - 04/18/2007 NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) (CRD#:29604) MONROEVILLE, PA
B
05/23/2006 - 04/18/2007 NATIONAL PLANNING CORPORATION (CRD#:29604) MONROEVILLE, PA
B
03/09/2001 - 01/03/2006 JPMORGAN DISTRIBUTION SERVICES, INC. (CRD#:104234) SAN FRANCISCO, CA
IA
07/07/2004 - 12/31/2005 JPMORGAN ASSET MANAGEMENT (CRD#:107247) COLUMBUS, OH
B
02/13/2000 - 12/31/2000 ONE GROUP SERVICES COMPANY (THE) (CRD#:37059) BROOKLYN, OH
B
02/11/1999 - 02/01/2000 MPI FINANCIAL (CRD#:44361)
FINRA expelled the firm on 03/01/2001
COLUMBUS, OH
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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.