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DAN ROBERT LINDSTROM
CRD#: 731250
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 13815 FNB Parkway Suite 300
OMAHA, NE 68154-5220
Registration History
1985199019952000200520102015202020252 FIRMS2004 - 2007 (2 years)2 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - 2010 (1 year)2 FIRMS2010 - Present (14 years)BPIPER JAFFRAY & CO. (CRD# 665)1994 - 2004 (9 years)BNORWEST INVESTMENT SERVICES, INC. (CRD# 16100)1987 - 1994 (7 years)BSECURITIES CORPORATION OF IOWA (CRD# 6945)1985 - 1987 (1 year)BBLUNT ELLIS & LOEWI INCORPORATED (CRD# 7580)1984 - 1985 (<1 year)BPAINE, WEBBER, JACKSON & CURTI... (CRD# 8174)1981 - 1984 (2 years)BFIRST MID-AMERICA INC. (CRD# 306)1981 - 1983 (2 years)IAPIPER JAFFRAY & CO. (CRD# 665)1998 - 2004 (5 years)
Disclosure(s)
View By:
6/14/2001
Customer Dispute
Denied
5/12/1986
Customer Dispute
Award / Judgment
License(s)

State Registrations

B
Alaska 8/8/2023

B
Montana 2/3/2023

B
Arizona 9/30/2010

B
Nebraska 9/30/2010

B
California 9/30/2010

IA
Nebraska 10/22/2010

B
Colorado 9/30/2010

B
Nevada 7/31/2023

B
Delaware 7/26/2023

B
New Hampshire 9/30/2010

B
Florida 11/13/2013

B
New Jersey 6/30/2022

B
Georgia 2/21/2018

B
New Mexico 1/18/2018

B
Idaho 11/7/2018

B
New York 9/30/2010

B
Illinois 3/15/2016

B
North Carolina 7/25/2023

B
Indiana 9/30/2010

B
Ohio 9/30/2010

B
Iowa 9/30/2010

B
Oklahoma 7/7/2022

B
Kansas 6/5/2017

B
Pennsylvania 9/6/2017

B
Kentucky 7/25/2023

B
South Carolina 10/5/2010

B
Louisiana 7/24/2023

B
South Dakota 10/28/2013

B
Maine 7/24/2023

B
Tennessee 12/15/2022

B
Maryland 7/2/2019

B
Texas 9/30/2010

B
Massachusetts 1/4/2022

IA
Texas 9/30/2010

B
Michigan 6/27/2019

B
Virginia 3/22/2012

B
Minnesota 11/2/2010

B
Washington 9/30/2010

B
Missouri 9/26/2013

B
Wisconsin 9/30/2010

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)
13815 FNB Parkway Suite 300, OMAHA, NE 68154-5220
Registered with this firm since 9/30/2010

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
13815 FNB Parkway Suite 300, OMAHA, NE 68154-5220
Registered with this firm since 9/30/2010

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/01/2009 - 10/06/2010 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) OMAHA, NE
B
06/01/2009 - 10/06/2010 MORGAN STANLEY SMITH BARNEY (CRD#:149777) OMAHA, NE
IA
04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) OMAHA, NE
B
04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) OMAHA, NE
IA
06/04/2004 - 04/02/2007 MORGAN STANLEY (CRD#:7556) OMAHA, NE
B
05/14/2004 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) OMAHA, NE
IA
09/04/1998 - 06/02/2004 PIPER JAFFRAY & CO. (CRD#:665) OMAHA, NE
B
09/13/1994 - 06/02/2004 PIPER JAFFRAY & CO. (CRD#:665) MINNEAPOLIS, MN
B
03/09/1987 - 09/09/1994 NORWEST INVESTMENT SERVICES, INC. (CRD#:16100) MINNEAPOLIS, MN
B
03/20/1985 - 01/12/1987 SECURITIES CORPORATION OF IOWA (CRD#:6945)
B
02/27/1984 - 01/28/1985 BLUNT ELLIS & LOEWI INCORPORATED (CRD#:7580)
B
05/22/1981 - 04/23/1984 PAINE, WEBBER, JACKSON & CURTIS INC. (CRD#:8174)
B
05/18/1981 - 12/19/1983 FIRST MID-AMERICA INC. (CRD#:306)
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Broker
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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.