Regina Onkst, financial advisor Louisville KY
86 score

Regina Onkst

CRD Number: 1128989
Current Firm: Ubs Financial Services Inc.

Regina Onkst (CRD# 1128989) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Louisville, KY and has over 32 years of experience in the finance industry. Regina Onkst has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Ubs Financial Services Inc. Louisville, KY Jul 2013 - Current 3
Ubs Financial Services Inc. Louisville, KY May 2009 - Jul 2013 4
Morgan Stanley & Company, Incorporated Louisville, KY Apr 2007 - May 2009 2
Morgan Stanley Louisville, KY Oct 2006 - Apr 2007 < 1
A. G. Edwards & Sons, Inc. Chesterfield, MO Dec 1998 - Oct 2006 7
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Feb 1984
S65 NASAA Investment Advisors Law Examination Nov 1994
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Regina R. Onkst
Phone Number: 201-352-3000
Registered State(s):
  • KY
  • TX
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
86

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