Colin Faulkner, financial advisor Miamisburg OH

Colin Faulkner

CRD Number: 6698332
Current Firm: Ubs Financial Services Inc.

Colin Faulkner (CRD# 6698332) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Miamisburg, OH and has over 3 years of experience in the finance industry.

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Company Name Location Dates Years
Ubs Financial Services, Inc. Miamisburg, OH May 2018 - Current 3
Ubs Financial Services, Inc. Miamisburg, OH Jan 2017 - Apr 2018 1
Wells Fargo Advisors Dayton, OH Aug 2016 - Oct 2016 < 1
Dyer, Roche & Company Wooster, OH Jun 2016 - Aug 2016 < 1
University Of Dayton - Department Of Music Dayton, OH Sep 2015 - May 2016 < 1
Freeman Construction Wooster, OH Jun 2014 - Aug 2015 1
Wooster High School Wooster, OH Dec 2013 - May 2014 < 1
Famous Footwear Lodi, OH May 2013 - Nov 2013 < 1
Wooster High School Wooster, OH Sep 2012 - Apr 2013 < 1
Buehlers Grocery Wooster, OH May 2012 - Aug 2012 < 1
Kingsway Christian School/wooster High School Wooster, OH Jan 2008 - Apr 2012 4
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Aug 2018
Contact Info for Colin C. Faulkner
Phone Number: 201-352-3000
Registered State(s):
  • OH
By the Numbers
  • Total Assets Under Management
    572,471
    MILLIONS
  • Total Number of Accounts
    1,003,533
    ACCOUNTS
  • Average Account Value
    $570,455
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, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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