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KAREN GORDON
CRD#: 4520474
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 1 NORTH WACKER DRIVE
32ND & 33RD
CHICAGO, IL 60606
Registration History
2002200420062008201020122014201620182020202220242026IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2005 - Present (19 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2002 - Present (22 years)
License(s)

State Registrations

B
Arizona 12/13/2012

B
Massachusetts 8/15/2011

B
Arkansas 7/17/2009

B
Michigan 5/13/2011

B
California 7/17/2009

B
Minnesota 8/15/2011

B
Colorado 11/8/2022

B
Mississippi 7/17/2009

B
Connecticut 8/15/2011

B
New York 8/15/2011

B
Florida 3/29/2011

B
North Carolina 7/17/2009

B
Georgia 8/15/2011

B
Ohio 3/14/2011

B
Illinois 7/5/2005

B
Pennsylvania 3/14/2011

IA
Illinois 7/15/2005

B
South Carolina 8/15/2011

B
Indiana 8/15/2011

B
Tennessee 10/2/2024

B
Iowa 8/15/2011

B
Virginia 8/25/2015

B
Kentucky 3/14/2011

B
Washington 12/18/2019

B
Louisiana 3/21/2023

B
Wisconsin 9/16/2011

B
Maryland 8/15/2011

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)
1 NORTH WACKER DRIVE 32ND & 33RD, CHICAGO, IL 60606
Chicago, IL
Registered with this firm since 7/15/2005

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1 NORTH WACKER DRIVE 32ND & 33RD, CHICAGO, IL 60606
Chicago, IL
Registered with this firm since 10/17/2002

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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.