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Detailed Report
SCOTT RICHARD AYRES
CRD#: 1425721
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 440 SOUTH WARREN ST.
6TH FLOOR
SYRACUSE, NY 13202
Registration History
198519901995200020052010201520202025IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2011 - Present (13 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2009 - Present (15 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1993 - 2009 (15 years)BBANC OF AMERICA ADVISORS, INC. (CRD# 46088)2001 - 2001 (<1 year)BLEHMAN BROTHERS INC. (CRD# 7506)1985 - 1993 (7 years)
Disclosure(s)
View By:
6/16/1999
Customer Dispute
Denied
11/9/1988
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 4/22/2009
B
New Jersey 3/27/2013
B
California 4/22/2009
IA
New Jersey 8/15/2023
B
Colorado 4/22/2009
B
New Mexico 9/6/2022
B
Connecticut 9/19/2016
B
New York 4/22/2009
B
District of Columbia 4/22/2009
IA
New York 10/26/2021
B
Florida 4/22/2009
B
North Carolina 4/22/2009
IA
Florida 5/31/2023
B
Ohio 10/31/2024
B
Georgia 4/22/2009
B
Oregon 8/14/2019
B
Illinois 4/22/2009
B
Pennsylvania 4/22/2009
B
Indiana 5/13/2009
B
Rhode Island 1/7/2022
B
Louisiana 12/16/2024
B
South Carolina 4/22/2009
B
Maine 4/22/2009
B
Tennessee 4/28/2021
B
Maryland 4/22/2009
B
Texas 4/22/2009
B
Massachusetts 4/22/2009
IA
Texas 11/16/2011
B
Michigan 4/22/2009
B
Utah 11/29/2012
B
Missouri 11/20/2020
B
Vermont 4/22/2009
B
Montana 12/11/2018
B
Virginia 4/22/2009
B
Nebraska 6/10/2020
B
Washington 4/20/2018
B
Nevada 4/25/2011
B
Wisconsin 7/15/2014
B
New Hampshire 4/22/2009

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)
440 SOUTH WARREN ST. 6TH FLOOR, SYRACUSE, NY 13202
Stuart, FL
Registered with this firm since 11/16/2011
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
440 SOUTH WARREN ST. 6TH FLOOR, SYRACUSE, NY 13202
Stuart, FL
Registered with this firm since 4/22/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 07/31/1993 - 05/12/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SYRACUSE, NY
B
 01/11/2001 - 01/18/2001 BANC OF AMERICA ADVISORS, INC. (CRD#:46088) CHARLOTTE, NC
B
 11/20/1985 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) 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.