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ELIZABETH ANN MCDOUGALL
ELIZABETH A MCDOUGALL
CRD#: 1271602
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 Stamford, CT
Registration History
1980198519901995200020052010201520202025IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2011 - Present (13 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2006 - Present (18 years)
Disclosure(s)
View By:
9/16/1977
Criminal
Final Disposition
License(s)

State Registrations

B
Connecticut 5/11/2011

B
New Jersey 5/27/2011

IA
Connecticut 5/11/2011

B
New York 5/27/2011

B
Florida 5/31/2011

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)
Stamford, CT
Registered with this firm since 5/11/2011

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
Stamford, CT
Registered with this firm since 7/7/2006

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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.