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APRIL SULLIVAN
APRIL M GRAY, APRIL MARIE GRAY, APRIL MARIE SULLIVAN, APRIL M VASQUEZ, APRIL MARIE VASQUEZ
CRD#: 1175477
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 1780 Hughes Landing Blvd.
SUITE 200
THE WOODLANDS, TX 77380-1687
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2005 - Present (19 years)BTRADESTAR INVESTMENTS,INC. (CRD# 14565)2004 - 2005 (<1 year)BFISERV INVESTOR SERVICES, INC. (CRD# 34637)2003 - 2005 (2 years)BTRADESTAR INVESTMENTS,INC. (CRD# 14565)1996 - 2002 (6 years)BTRADESTAR INVESTMENTS,INC. (CRD# 14565)1996 - 1996 (<1 year)BRAUSCHER PIERCE REFSNES, INC. (CRD# 6663)1995 - 1996 (<1 year)
License(s)

State Registrations

B
California 12/15/2014

B
Oklahoma 12/15/2014

B
Colorado 12/15/2014

B
Texas 8/22/2005

B
Louisiana 12/15/2014

IA
Texas 8/22/2005

B
New Mexico 12/15/2014

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)
1780 Hughes Landing Blvd. SUITE 200, THE WOODLANDS, TX 77380-1687
Registered with this firm since 8/22/2005

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1780 Hughes Landing Blvd. SUITE 200, THE WOODLANDS, TX 77380-1687
Registered with this firm since 8/22/2005

Previous Registration(s)
th hidden textth hidden textNameLocation
B
12/07/2004 - 08/08/2005 TRADESTAR INVESTMENTS,INC. (CRD#:14565) HOUSTON, TX
B
02/11/2003 - 08/08/2005 FISERV INVESTOR SERVICES, INC. (CRD#:34637) HOUSTON, TX
B
04/04/1996 - 12/31/2002 TRADESTAR INVESTMENTS,INC. (CRD#:14565) HOUSTON, TX
B
03/04/1996 - 03/26/1996 TRADESTAR INVESTMENTS,INC. (CRD#:14565)
B
08/09/1995 - 03/11/1996 RAUSCHER PIERCE REFSNES, INC. (CRD#:6663) DALLAS, 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.