Dale KloecknerCRD Number: 1111408
Current Firm: Ubs Financial Services Inc.
Dale Kloeckner (CRD# 1111408) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Omaha, NE and has over 34 years of experience in the finance industry.
Cambridge Investment Research Advisors, Inc.
Wells Fargo Advisors, LLC
Mutual Of Omaha Investor Services, Inc.
|Ubs Financial Services Inc.||Omaha, NE||Sep 2011 - Current||6|
|Morgan Stanley Smith Barney||Omaha, NE||Jun 2009 - Sep 2011||2|
|Morgan Stanley & Company, Incorporated||Omaha, NE||Apr 2007 - Jun 2009||2|
|Morgan Stanley Dw Inc.||Omaha, NE||May 2005 - Apr 2007||1|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Apr 1983|
|S65||NASAA Investment Advisors Law Examination||Nov 1999|
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
Total Assets Under Management358,253MILLIONS
Total Number of Accounts860,383ACCOUNTS
Average Account Value$416,388
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- 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