• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
KAREN DHUYVETTER
CRD#: 4598751
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 12220 EL CAMINO REAL
SUITE 400
SAN DIEGO, CA 92130
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2014 - Present (10 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2002 - 2014 (11 years)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2003 - 2014 (11 years)
License(s)

State Registrations

B
California 8/28/2014

B
North Carolina 8/28/2014

IA
California 8/28/2014

B
Oregon 8/28/2014

B
Colorado 6/16/2016

B
Tennessee 9/16/2024

B
Massachusetts 6/13/2023

B
Texas 8/28/2014

B
Michigan 8/28/2014

IA
Texas 8/28/2014

B
Nevada 8/28/2014

B
Washington 8/28/2014

B
New York 8/28/2014

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)
12220 EL CAMINO REAL SUITE 400, SAN DIEGO, CA 92130
Encinitas, CA
Registered with this firm since 8/28/2014

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
12220 EL CAMINO REAL SUITE 400, SAN DIEGO, CA 92130
Encinitas, CA
Registered with this firm since 8/28/2014

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/06/2003 - 08/29/2014 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) CARLSBAD, CA
B
12/10/2002 - 08/29/2014 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) CARLSBAD, CA
For additional information about investment advisers or broker-dealers, please visit
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.