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DAVID MARTIN DODD
CRD#: 1065148
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 600 WEST BROADWAY
SUITE 2800
SAN DIEGO, CA 92101
Registration History
199019952000200520102015202020252 FIRMS2003 - 2005 (2 years)2 FIRMS2005 - 2010 (4 years)2 FIRMS2010 - Present (15 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1990 - 2003 (13 years)BSMITH BARNEY, HARRIS UPHAM & C... (CRD# 7059)1986 - 1990 (3 years)BBROOK INVESTMENTS, INC. (CRD# 7876)1986 - 1986 (<1 year)IAPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1997 - 2003 (6 years)
License(s)

State Registrations

B
Alabama 11/11/2024

B
Montana 11/11/2024

B
Arizona 11/15/2024

B
Nebraska 11/11/2024

B
Arkansas 1/24/2025

B
Nevada 11/15/2024

B
California 1/1/2010

B
New Hampshire 11/11/2024

IA
California 1/1/2010

B
New Jersey 11/11/2024

B
Colorado 11/15/2024

B
New Mexico 11/15/2024

B
Connecticut 11/15/2024

B
New York 1/24/2025

B
Delaware 11/15/2024

B
North Carolina 11/15/2024

B
District of Columbia 11/11/2024

B
North Dakota 11/15/2024

IA
Florida 1/1/2010

B
Ohio 11/15/2024

B
Florida 11/11/2024

B
Oklahoma 11/11/2024

B
Georgia 11/15/2024

B
Oregon 1/24/2025

B
Hawaii 11/11/2024

B
Pennsylvania 11/11/2024

B
Idaho 11/15/2024

B
Puerto Rico 11/15/2024

B
Illinois 11/15/2024

B
Rhode Island 11/15/2024

B
Indiana 11/11/2024

B
South Carolina 11/15/2024

B
Iowa 11/15/2024

B
South Dakota 11/11/2024

B
Kansas 11/15/2024

B
Tennessee 11/15/2024

B
Kentucky 11/15/2024

B
Texas 1/1/2010

B
Louisiana 11/15/2024

IA
Texas 3/28/2013

B
Maine 12/24/2024

B
Utah 1/24/2025

B
Maryland 11/11/2024

B
Vermont 12/24/2024

B
Massachusetts 1/24/2025

B
Virgin Islands 11/15/2024

B
Michigan 11/11/2024

B
Virginia 11/15/2024

B
Minnesota 11/15/2024

B
Washington 11/15/2024

B
Mississippi 1/24/2025

B
Wisconsin 11/15/2024

B
Missouri 11/15/2024

B
Wyoming 11/15/2024

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
600 WEST BROADWAY SUITE 2800, SAN DIEGO, CA 92101
4400 Post Oak Parkway Suite 1800, HOUSTON, TX 77027
Registered with this firm since 1/1/2010

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
600 WEST BROADWAY SUITE 2800, SAN DIEGO, CA 92101
4400 Post Oak Parkway Suite 1800, HOUSTON, TX 77027
Registered with this firm since 1/1/2010

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
08/05/2005 - 01/01/2010 UBS INTERNATIONAL INC. (CRD#:107726) SAN DIEGO, CA
B
08/05/2005 - 01/01/2010 UBS INTERNATIONAL INC. (CRD#:107726) SAN DIEGO, CA
IA
07/01/2003 - 08/08/2005 WACHOVIA SECURITIES, LLC (CRD#:19616) MIAMI, FL
B
07/01/2003 - 08/08/2005 WACHOVIA SECURITIES, LLC (CRD#:19616) ST. LOUIS, MO
IA
01/03/1997 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) MIAMI, FL
B
01/30/1990 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
06/17/1986 - 02/15/1990 SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (CRD#:7059) NEW YORK, NY
B
04/25/1986 - 06/10/1986 BROOK INVESTMENTS, INC. (CRD#:7876)
FINRA expelled the firm on 09/01/1993
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.