Maria regina Herfindahl
Investment adviser representative at UBS Financial Services Inc.
12 yearsExperience
1 stateRegistered in
$915.8BFirm assets
55 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat feeCommissionsOther
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
12 years in the industry.
- UBS Financial Services Inc.Aug 2022 to now
- UnemployedMay 2022 to Jul 2022
- Ave Maria UniversityAug 2019 to May 2022
- Hawkinson ConstructionAug 2019 to Aug 2021
- Glik'sMar 2019 to Jul 2019
- Ave Maria UniversityAug 2017 to Dec 2018
- Lakewood LodgeMay 2017 to Aug 2020
- UnemployedJan 2014 to May 2017
Exams passed
- Series 66 · Uniform Combined State Law2025
State registrations
Registered as an investment adviser representative in 1 state (MN).
UBS Financial Services Inc.
$915.8BAssets managed
1,144,588Clients
9,366Advisers
55 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 7601799
- Firm CRD
- 8174