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DAVID KEITH ELLOVICH
CRD#: 1128528
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 ONE STATE STREET
16TH FLOOR
HARTFORD, CT 06103
Registration History
1985199019952000200520102015202020252 FIRMS1993 - 2009 (15 years)2 FIRMS2009 - Present (15 years)BKIDDER, PEABODY & CO. INCORPORATED (CRD# 7613)1988 - 1993 (5 years)BDREXEL BURNHAM LAMBERT INCORPO... (CRD# 7323)1983 - 1988 (4 years)
Disclosure(s)
View By:
7/28/2000
Customer Dispute
Settled
License(s)

State Registrations

B
Alaska 11/25/2024

B
Minnesota 8/26/2016

B
Arizona 12/8/2010

B
New Hampshire 4/24/2009

B
California 4/24/2009

B
New Jersey 4/24/2009

B
Colorado 4/24/2009

B
New York 4/24/2009

B
Connecticut 4/24/2009

B
North Carolina 4/24/2009

IA
Connecticut 4/24/2009

B
Ohio 4/24/2009

B
District of Columbia 6/7/2019

B
Oklahoma 5/8/2018

B
Florida 4/24/2009

B
Pennsylvania 4/24/2009

B
Georgia 4/24/2009

B
Rhode Island 4/24/2009

B
Hawaii 3/22/2021

B
South Carolina 5/12/2011

B
Illinois 5/6/2011

B
Tennessee 5/25/2010

B
Indiana 8/17/2023

B
Texas 8/23/2016

B
Kansas 11/15/2024

IA
Texas 1/9/2019

B
Kentucky 4/13/2023

B
Vermont 11/16/2015

B
Maine 4/24/2009

B
Virgin Islands 4/24/2009

B
Maryland 4/24/2009

B
Virginia 4/24/2009

B
Massachusetts 4/24/2009

B
Washington 8/29/2013

B
Michigan 4/24/2009

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)
ONE STATE STREET 16TH FLOOR, HARTFORD, CT 06103
Registered with this firm since 4/24/2009

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
ONE STATE STREET 16TH FLOOR, HARTFORD, CT 06103
Registered with this firm since 4/24/2009

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
08/24/1993 - 05/14/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) HARTFORD, CT
B
06/21/1993 - 05/14/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) HARTFORD, CT
B
02/24/1988 - 06/25/1993 KIDDER, PEABODY & CO. INCORPORATED (CRD#:7613) NEW YORK, NY
B
05/25/1983 - 03/07/1988 DREXEL BURNHAM LAMBERT INCORPORATED (CRD#:7323)
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B
Broker
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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.