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DAVID J. JOHN AIGNER
DAVID JOHN AIGNER
CRD#: 1080338
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 4400 POST OAK PARKWAY
HOUSTON, TX 77027
Registration History
1985199019952000200520102015202020252 FIRMS2007 - 2009 (1 year)2 FIRMS2009 - Present (16 years)BMORGAN STANLEY DW INC. (CRD# 7556)1982 - 2007 (24 years)IAMORGAN STANLEY (CRD# 7556)1983 - 2007 (23 years)
Disclosure(s)
View By:
7/7/2011
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 8/12/2024

B
New Jersey 12/13/2012

B
Arkansas 6/12/2013

B
New Mexico 1/8/2009

B
California 1/8/2009

B
New York 1/8/2009

B
Colorado 1/8/2009

B
North Carolina 1/8/2009

B
Connecticut 11/14/2017

B
Ohio 2/1/2025

B
Florida 1/8/2009

B
Oklahoma 4/9/2014

B
Georgia 1/8/2009

B
Oregon 11/13/2023

B
Hawaii 4/9/2024

B
Pennsylvania 1/8/2009

B
Illinois 10/25/2012

B
Rhode Island 9/24/2024

B
Kentucky 3/3/2020

B
South Carolina 1/8/2009

B
Louisiana 1/8/2009

B
Tennessee 1/27/2009

B
Maryland 6/13/2013

B
Texas 1/8/2009

B
Massachusetts 6/10/2014

IA
Texas 1/8/2009

B
Michigan 4/20/2009

B
Utah 1/8/2009

B
Minnesota 1/5/2016

B
Vermont 8/27/2021

B
Mississippi 1/8/2009

B
Virginia 1/8/2009

B
Missouri 1/8/2009

B
Washington 1/8/2009

B
Nebraska 7/20/2020

B
Wisconsin 5/3/2017

B
Nevada 5/7/2021

B
Wyoming 7/31/2024

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

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
4400 POST OAK PARKWAY, HOUSTON, TX 77027
Registered with this firm since 1/8/2009

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
4400 POST OAK PARKWAY, HOUSTON, TX 77027
Registered with this firm since 1/8/2009

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
04/02/2007 - 01/09/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) HOUSTON, TX
B
04/02/2007 - 01/09/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) HOUSTON, TX
IA
08/23/1983 - 04/02/2007 MORGAN STANLEY (CRD#:7556) HOUSTON, TX
B
12/21/1982 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) HOUSTON, TX
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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.