Erik Puffenberger, financial advisor Columbus OH
93 score

Erik Puffenberger

CRD Number: 3163791
Current Firm: Ubs Financial Services Inc.

Erik Puffenberger (CRD# 3163791) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Columbus, OH and has over 17 years of experience in the finance industry.

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Company Name Location Dates Years
Ubs Financial Services Inc. Upper Arlington, OH Nov 2009 - Current 7
Ubs Financial Services Inc. Columbus, OH May 2007 - Nov 2009 2
National Planning Corporation Monroeville, PA May 2006 - Apr 2007 < 1
Sky Trust Columbus, OH Dec 2005 - Apr 2007 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Apr 1999
S66 NASAA Uniform Combined State Law Examination Jun 2004
Contact Info for Erik L. Puffenberger
Phone Number: 201-352-3000
Registered State(s):
  • OH
By the Numbers
  • Total Assets Under Management
    358,253
    MILLIONS
  • Total Number of Accounts
    860,383
    ACCOUNTS
  • Average Account Value
    $416,388
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Security ratings or pricing services
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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