Individual Firm
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KAREN ELIZABETH NYSTROM
CRD#: 4123944
IA
B
UBS FINANCIAL SERVICES INC.CRD#: 8174 1801 13TH STREET
BOULDER, CO 80302
BOULDER, CO 80302
0
Disclosures
24
Years of Experience
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State Registrations
B
Arizona 4/30/2004
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Missouri 12/11/2014
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California 4/30/2004
B
Nevada 4/30/2004
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Colorado 4/30/2004
B
New Hampshire 1/30/2023
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Colorado 4/30/2004
B
New Jersey 7/27/2004
B
Florida 4/30/2004
B
New Mexico 4/16/2018
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Georgia 7/27/2004
B
New York 1/29/2018
B
Hawaii 8/29/2013
B
North Carolina 4/30/2004
B
Idaho 7/27/2004
B
South Carolina 8/19/2008
B
Indiana 9/9/2011
B
Texas 1/4/2011
B
Kansas 7/29/2021
IA
Texas 6/15/2016
B
Louisiana 3/5/2020
B
Virginia 2/3/2023
B
Massachusetts 9/8/2021
B
Washington 4/30/2004
B
Michigan 7/27/2004
B
West Virginia 3/20/2024
SRO Registrations
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IA
Registered with this firm since 4/30/2004
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Registered with this firm since 4/30/2004
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/23/2001 - 05/04/2004 | BROOMFIELD, CO | |
B | 03/20/2000 - 05/04/2004 | ST. LOUIS, MO |
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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.
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.