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LEE ANN QUENAULT
LEE A QUENAULT, LEE ANN VISSER
CRD#: 1326623
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 184 Liberty Corner Road
Suite 101
Warren, NJ 07059
Registration History
199019952000200520102015202020252 FIRMS2009 - 2012 (3 years)2 FIRMS2012 - Present (12 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1999 - 2009 (10 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1992 - 1999 (6 years)BPAINEWEBBER INCORPORATED (CRD# 8174)1989 - 1992 (3 years)BMOSTEL & TAYLOR SECURITIES INC. (CRD# 10359)1987 - 1989 (1 year)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2002 - 2009 (6 years)
Disclosure(s)
View By:
3/11/2003
Customer Dispute
Settled
License(s)

State Registrations

B
Alaska 11/21/2023

B
New Hampshire 6/6/2022

B
Arizona 6/16/2022

B
New Jersey 5/24/2012

B
California 5/24/2012

IA
New Jersey 5/24/2012

B
Colorado 6/3/2022

B
New York 5/24/2012

B
Connecticut 5/24/2012

B
North Carolina 5/24/2012

B
Delaware 10/28/2024

B
Pennsylvania 4/9/2015

B
District of Columbia 12/23/2020

B
Rhode Island 12/17/2020

B
Florida 5/24/2012

B
South Carolina 5/24/2012

IA
Florida 5/17/2022

B
Tennessee 5/17/2022

B
Georgia 5/17/2022

B
Texas 7/2/2021

B
Idaho 10/2/2023

IA
Texas 9/26/2023

B
Illinois 6/7/2022

B
Vermont 5/16/2022

B
Iowa 1/5/2024

B
Virgin Islands 5/17/2022

B
Maryland 9/2/2014

B
Virginia 5/24/2012

B
Massachusetts 5/30/2012

B
Washington 11/20/2023

B
Michigan 5/18/2022

B
West Virginia 6/9/2022

B
Nevada 11/27/2023

B
Wisconsin 5/17/2022

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

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)
184 Liberty Corner Road Suite 101, Warren, NJ 07059
CALIFON, NJ
Registered with this firm since 5/24/2012

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
184 Liberty Corner Road Suite 101, Warren, NJ 07059
CALIFON, NJ
Registered with this firm since 5/24/2012

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/01/2009 - 06/04/2012 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) MORRISTOWN, NJ
B
06/01/2009 - 06/04/2012 MORGAN STANLEY SMITH BARNEY (CRD#:149777) MORRISTOWN, NJ
IA
10/18/2002 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) MORRISTOWN, NJ
B
04/09/1999 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) MORRISTOWN, NJ
B
06/17/1992 - 04/14/1999 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
02/02/1989 - 05/13/1992 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
B
11/25/1987 - 01/17/1989 MOSTEL & TAYLOR SECURITIES INC. (CRD#:10359)
FINRA expelled the firm on 05/11/1991
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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.