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SUSAN MARIE BAILEY
SUSAN HAGOPIAN BAILEY, SISAN MARIE HAGOPIAN, SUSAN MARIE HAGOPIAN
CRD#: 1149013
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 2575 East Camelback Road
SUITE 900
PHOENIX, AZ 85016
Registration History
198519901995200020052010201520202025IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2002 - Present (22 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)1989 - Present (35 years)BYOUNG, SMITH & PEACOCK, INC. (CRD# 913)1988 - 1989 (1 year)BSHEARSON LEHMAN HUTTON INC. (CRD# 7506)1988 - 1988 (<1 year)BE. F. HUTTON & COMPANY INC (CRD# 235)1983 - 1988 (4 years)
Disclosure(s)
View By:
3/31/2008
Customer Dispute
Settled
3/6/2003
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 6/21/1989

B
Montana 3/18/2021

B
Arkansas 10/4/2024

B
New Mexico 9/17/1999

B
California 5/9/1989

B
New York 4/20/1989

B
Colorado 4/20/1989

B
North Carolina 10/23/2020

B
Florida 2/6/1992

IA
Oklahoma 4/12/2002

B
Georgia 5/6/2020

B
Oregon 4/5/1991

B
Hawaii 1/23/2014

B
Pennsylvania 9/4/1990

B
Illinois 4/20/1989

B
South Carolina 5/13/2021

IA
Illinois 4/4/2024

B
Tennessee 6/22/2006

B
Indiana 7/5/2012

B
Texas 10/22/2003

B
Kentucky 7/29/2024

IA
Texas 1/28/2004

B
Maryland 2/28/2023

B
Virginia 4/3/2023

B
Michigan 4/20/1989

B
Washington 6/9/2021

B
Minnesota 8/21/1997

B
Wisconsin 5/10/2022

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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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)
2575 East Camelback Road SUITE 900, PHOENIX, AZ 85016
Chicago, IL
Registered with this firm since 4/12/2002

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
2575 East Camelback Road SUITE 900, PHOENIX, AZ 85016
Chicago, IL
Registered with this firm since 4/20/1989

Previous Registration(s)
th hidden textth hidden textNameLocation
B
05/04/1988 - 05/15/1989 YOUNG, SMITH & PEACOCK, INC. (CRD#:913)
B
02/15/1988 - 04/19/1988 SHEARSON LEHMAN HUTTON INC. (CRD#:7506)
B
07/21/1983 - 02/15/1988 E. F. HUTTON & COMPANY INC (CRD#:235)
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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.