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Wolfgang Karl Frisch

Other Names: Frisch Karl Wolfgang
Firm:
UBS Financial Services Inc.
Type: Dual Registration
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Description

Wolfgang Frisch a financial professional at UBS Financial Services Inc., a broker-dealer with over 11,700 registered representatives nationwide. Wolfgang has held an industry securities registration for 10 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

Wolfgang Karl Frisch has not answered any questions on Financial Q&A.

Top Guides

Wolfgang Karl Frisch has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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ownership pie chart
Individuals
Banking or Thrift Institutions
Pension and Profit Sharing Plans
Corporations or Other Businesses
Charitable Organizations
State or Municipal Government Entities
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

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Employer Years Dates
UBS Financial Services Inc. 2 years May 2011 - Present
The Ayco Company, L.P./Mercer Allied 10 years, 6 months Nov 2000 - May 2011
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 07/26/2012, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
SEC
FINRA
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found
As of Date
07/26/2012
10/21/2012
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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Exam Series Passed Date
Uniform Combined State Law Examination Series 66 12/05/2002
General Securities Representative Examination Series 7 08/06/2002

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions
  • Other: SEE SCHEDULE D - MISCELLANEOUS