KELLY BRION BRAMER is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 5515 UTICA RIDGE ROAD, #503, DAVENPORT, IA, 52807.
KELLY BRION BRAMER has worked at UBS FINANCIAL SERVICES INC. since September 30, 2011
Disclosure History
KELLY BRION BRAMER has 2 Disclosure Event(s).
Date: December 03, 2004 Category: Customer Dispute Allegations: CLAIMANTS ALLEGE UNAUTHORIZED AND UNSUITABLE INVESTMENTS IN STOCKS IN 1999 AND SEVERAL YEARS THEREAFTER. Damage Amount Requested: $45,000.00 Settlement Amount: $500.00 Broker Comment: THIS MATTER WAS SETTLED SOLELY TO AVOID TIME AND EXPENSE OF LITIGATION, WHILE DENYING ALL CLAIMS.
Date: March 11, 2003 Category: Customer Dispute Allegations: CLIENT ALLEGED THAT MR. BRAMER, IN MAY OF 2000, TOLD HER THAT THE PRINCIPAL INVESTED IN THE ANNUITY "WOULD BE GUARANTEED NO MATTER WHAT" AND THAT, IN THE FIRST QUARTER OF 2000, HE RECOMMENDED TO "DIVERSIFY HER PORTFOLIO BY LOADING IT UP ON TECH STOCKS." THE ANNUITY WAS PURCHASED WHILE MR. BRAMER WAS IN THE EMPLOY OF MERRILL LYNCH. Damage Amount Requested: $40,000.00 Broker Comment: AFTER REVIEW, THE COMPLAINT WAS FOUND WITHOUT MERIT AND WAS THUS DENIED.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for KELLY BRION BRAMER, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.