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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

Renee Ann Johnson

Advisor at UBS FINANCIAL SERVICES INC.

Highlands Ranch, CO | DENVER, CO

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Search this name across graphsid dfx:ria:6c69a46e-c67b-6ffe-bca5-85aa9b4a05ed

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jan 30, 2006 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: UBS FINANCIAL SERVICES INC.
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 28, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jan 28, 2006
First registration: Jan 30, 2006
Dual registered: yes, broker-dealer
Other names: RENEE ANN RUNDQUIST
IAPD individual key: 4757621

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
UBS FINANCIAL SERVICES INC.	Wirehouse	Mar 20, 2023	n/a	yes	DENVER, CO\|Highlands Ranch, CO	Current employment
WEALTHSOURCE?	Former SEC adviser	Aug 16, 2021	Mar 8, 2023	no	HIGHLANDS RANCH, CO	Previous registration
MORGAN STANLEY	Wirehouse	Jul 30, 2012	Apr 6, 2021	no	Dallas, TX\|Dallas, TX	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Jan 30, 2006	Jul 23, 2012	no	DALLAS, TX\|WEEHAWKEN, NJ\|DALLAS, TX\|PLANO, TX\|ADDISON, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WEALTHSOURCE?	UBS FINANCIAL SERVICES INC.	Mar 8, 2023	Mar 20, 2023	12	Firm change	RIA to wirehouse
MORGAN STANLEY	WEALTHSOURCE?	Apr 6, 2021	Aug 16, 2021	132	Firm change	Wirehouse to RIA
UBS FINANCIAL SERVICES INC.	MORGAN STANLEY	Jul 23, 2012	Jul 30, 2012	7	Firm change	Wirehouse to wirehouse

Relationships

Registered with (3)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jan 30, 2006 to Jul 23, 2012factForm ADV
→ WEALTHSOURCE?Registered adviserregistration: previous registration
Aug 16, 2021 to Mar 8, 2023factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jul 30, 2012 to Apr 6, 2021factForm ADV

Dated events

Occurred
Mar 8, 2023
Advisor changed firm
Renee Ann Johnson left Wealthsource? for Ubs Financial Services Inc. (registered 2023-03-20)
Form ADVobserved 4 days ago