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Bradley Adam Maienschein
BRAD MAIENSCHEIN, BRADLEY A MAIENSCHEIN
CRD#: 5607640
IA
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UBS FINANCIAL SERVICES INC.CRD#: 8174 1200 Prospect St
Suite 100
La Jolla, CA 92038
Suite 100
La Jolla, CA 92038
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Disclosures
11
Years of Experience
View By:
State Registrations
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Arizona 6/30/2022
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Florida 4/3/2023
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California 7/1/2019
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Texas 2/14/2024
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California 7/1/2019
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Wyoming 3/29/2023
SRO Registrations
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IA
Registered with this firm since 7/1/2019
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Registered with this firm since 7/1/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/11/2018 - 09/20/2018 | KAHULUI, HI | |
B | 07/10/2018 - 09/20/2018 | KAHULUI, HI | |
B | 12/11/2012 - 06/27/2017 | CHICAGO, IL | |
B | 11/13/2008 - 02/16/2010 | SAN DIEGO, CA |
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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.
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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.