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Detailed Report
SHERI ANNE LARSEN
CRD#: 1198305
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 601 108TH AVENUE NORTH EAST
SUITE 2000
BELLEVUE, WA 98004
Registration History
198519901995200020052010201520202025IAUBS FINANCIAL SERVICES INC. (CRD# 8174)1991 - Present (33 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)1989 - Present (35 years)BPRUDENTIAL-BACHE SECURITIES INC. (CRD# 7471)1984 - 1989 (5 years)
License(s)

State Registrations

B
Alaska 2/28/1995
B
Missouri 1/12/2024
B
Arizona 7/18/1989
B
Montana 6/17/2021
B
California 7/11/1989
B
Nevada 6/13/2022
B
Colorado 12/19/1995
B
New Jersey 6/17/2021
B
Delaware 7/2/2021
B
New Mexico 6/17/2021
B
Florida 4/6/2021
B
New York 9/6/2019
B
Georgia 4/1/2019
B
North Carolina 6/19/2018
B
Hawaii 10/4/2000
B
Oregon 7/10/1989
B
Idaho 1/31/2005
B
Pennsylvania 12/4/2023
B
Illinois 6/17/2021
B
South Carolina 3/9/2020
B
Iowa 6/2/2011
B
Tennessee 1/9/2019
B
Maine 6/17/2021
B
Texas 4/16/1997
B
Maryland 11/18/2024
IA
Texas 9/23/2002
B
Massachusetts 3/31/2020
B
Virginia 6/17/2021
B
Michigan 6/17/2021
B
Washington 7/10/1989
B
Minnesota 7/23/1998
IA
Washington 10/9/1991

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Texas, Inc.
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
601 108TH AVENUE NORTH EAST SUITE 2000, BELLEVUE, WA 98004
225 108th Avenue NE Suite 800, Bellevue, WA 98004
Registered with this firm since 10/9/1991
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
601 108TH AVENUE NORTH EAST SUITE 2000, BELLEVUE, WA 98004
225 108th Avenue NE Suite 800, Bellevue, WA 98004
Registered with this firm since 7/10/1989
Previous Registration(s)
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B
 05/30/1984 - 07/13/1989 PRUDENTIAL-BACHE SECURITIES INC. (CRD#:7471) NEW YORK, NY
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.