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Detailed Report
Registration History
198519901995200020052010201520202025IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2017 - Present (7 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2011 - Present (13 years)BMORGAN STANLEY SMITH BARNEY (CRD# 149777)2009 - 2012 (2 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1993 - 2009 (15 years)BLEHMAN BROTHERS INC. (CRD# 7506)1988 - 1993 (5 years)BE. F. HUTTON & COMPANY INC (CRD# 235)1983 - 1988 (4 years)BFIRST JERSEY SECURITIES, INC. (CRD# 6621)1983 - 1983 (<1 year)
Disclosure(s)
View By:
7/17/2008
Customer Dispute
Closed-No Action
11/8/1988
Customer Dispute
Award / Judgment
License(s)

State Registrations

B
Arizona 11/9/2017
B
New Jersey 12/15/2011
B
California 12/15/2011
B
New Mexico 12/15/2011
B
Colorado 12/18/2019
B
New York 12/15/2011
B
Connecticut 5/16/2013
IA
New York 10/26/2021
B
District of Columbia 12/15/2011
B
North Carolina 9/13/2018
B
Florida 12/15/2011
B
Ohio 4/6/2017
B
Georgia 12/15/2011
B
Pennsylvania 12/15/2011
B
Indiana 6/25/2014
B
South Carolina 7/10/2019
B
Maryland 12/15/2011
IA
Texas 9/5/2017
B
Massachusetts 12/15/2011
B
Utah 7/10/2019
B
Minnesota 12/26/2023
B
Virginia 12/15/2011
B
New Hampshire 6/1/2021
B
Washington 7/22/2016

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)
400 LINDEN OAKS, ROCHESTER, NY 14625
Victor, NY
Registered with this firm since 9/5/2017
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
400 LINDEN OAKS, ROCHESTER, NY 14625
Victor, NY
Registered with this firm since 12/15/2011
Previous Registration(s)
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B
 06/01/2009 - 01/06/2012 MORGAN STANLEY SMITH BARNEY (CRD#:149777) ROCHESTER, NY
B
 07/31/1993 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) ROCHESTER, NY
B
 04/11/1988 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
 09/15/1983 - 04/11/1988 E. F. HUTTON & COMPANY INC (CRD#:235)
B
 04/26/1983 - 08/12/1983 FIRST JERSEY SECURITIES, INC. (CRD#:6621)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.