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Detailed Report
SUSAN JANE MCKINNEY
SUSAN CASEY, SUSAN MCKINNEY
CRD#: 1492929
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 Reno, NV
Registration History
199019952000200520102015202020252 FIRMS2001 - Present (23 years)BJ.P. MORGAN SECURITIES INC. (CRD# 18718)2000 - 2001 (1 year)BHAMBRECHT & QUIST LLC (CRD# 940)1996 - 2000 (4 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1987 - 1995 (8 years)BHAMBRECHT & QUIST LLC (CRD# 940)1995 - 1995 (<1 year)
License(s)

State Registrations

B
Arizona 1/4/2011
B
Nevada 1/3/2008
B
California 10/3/2001
IA
Nevada 5/24/2018
IA
California 10/25/2001
B
New Hampshire 9/6/2018
B
Colorado 10/3/2001
B
New York 10/3/2001
B
Florida 10/4/2018
B
Ohio 10/29/2024
B
Hawaii 7/8/2020
B
Oregon 8/19/2015
B
Idaho 2/28/2017
B
Pennsylvania 3/5/2013
B
Illinois 8/16/2005
B
Tennessee 2/25/2008
B
Kentucky 8/9/2021
B
Texas 4/28/2006
B
Maine 6/12/2020
IA
Texas 8/18/2009
B
Massachusetts 10/3/2001
B
Washington 10/3/2001
B
Montana 7/1/2024

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

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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)
Reno, NV
6900 S. MCCARRAN BLVD., RENO, NV 89509
Registered with this firm since 10/25/2001
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
Reno, NV
6900 S. MCCARRAN BLVD., RENO, NV 89509
Registered with this firm since 10/3/2001
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 02/01/2000 - 10/24/2001 J.P. MORGAN SECURITIES INC. (CRD#:18718) NEW YORK, NY
B
 02/22/1996 - 02/01/2000 HAMBRECHT & QUIST LLC (CRD#:940) SAN FRANCISCO, CA
B
 07/21/1987 - 09/14/1995 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
B
 08/21/1995 - 09/12/1995 HAMBRECHT & QUIST LLC (CRD#:940)
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.