Elizabeth Ann Knott
Investment Adviser Representative at UBS Financial Services Inc.
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Elizabeth Ann Knott is an investment adviser representative with UBS Financial Services Inc. in Denver, CO, where they have been registered since 2026. They have worked in the securities industry since 2016 and have been registered with 4 firms, including LPL Financial LLC and Raymond James & Associates, Inc. They have passed 6 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent), Series 7 (general securities representative), and Series 9 (options sales supervisor). They are registered to provide investment advice in Colorado and Nevada.
Office
Advisors at this office: 67
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Colorado, Nevada
- Broker:
5 states and territories
Colorado, Idaho, Nevada, New Mexico, Utah
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Wells Fargo Advisors, LLCNov 2014 – Nov 2016Southport, NC
- Wells Fargo Clearing Services, LLCNov 2016 – Oct 2021Denver, CO
- Raymond James & Associates, Inc.Oct 2021 – Jun 2023Denver, CO
- LPL Financial LLCJan 2024 – May 2026San Diego, CA
- unemployedJul 2023 – Dec 2023Denver, CO
- UBS Financial Services IncMay 2026 – no end date reportedDenver, CO
Official records & sources
Data as of June 28, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About UBS Financial Services Inc.
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Commissions
- Hourly
- Fixed fee
- Other
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 9,380
- Offices listed on AdvisorFinder:
- 26
- Main office:
- Weehawken, NJ
- SEC file number:
- 801-7163
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of August 25, 2026
View full firm profileOther advisors at UBS Financial Services Inc.
Showing 12 of 9,380 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Elizabeth Ann Knott has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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