Individual Firm
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THOMAS DOYLE LAFOUNTAIN
CRD#: 1549521
IA
B
UBS FINANCIAL SERVICES INC.CRD#: 8174 ONE CITY CENTER
10th FLOOR
PORTLAND, ME 04101
10th FLOOR
PORTLAND, ME 04101
View By:
10/15/2013
Customer Dispute
Denied
State Registrations
B
Arizona 1/15/2025
B
Minnesota 6/10/2014
B
California 9/22/2006
B
New Hampshire 9/22/2006
B
District of Columbia 1/13/2010
B
New Jersey 5/5/2022
B
Florida 9/22/2006
B
North Carolina 1/3/2024
B
Maine 9/22/2006
B
Tennessee 5/2/2024
IA
Maine 9/22/2006
B
Vermont 4/1/2021
B
Massachusetts 2/1/2008
B
Virginia 11/20/2015
SRO Registrations
B
B
B
B
B
B
B
B
B
B
View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
IA
Registered with this firm since 9/22/2006
B
Registered with this firm since 9/22/2006
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/20/2004 - 09/28/2006 | PORTLAND, ME | |
B | 10/20/2004 - 09/28/2006 | PORTLAND, ME | |
IA | 09/07/2004 - 10/20/2004 | BIDDEFORD, ME | |
B | 01/02/2001 - 10/20/2004 | NEW YORK, NY | |
B | 02/02/1998 - 01/02/2001 | DALLAS, TX | |
B | 04/08/1992 - 02/02/1998 | NEW YORK, NY | |
B | 08/23/1991 - 04/03/1992 | HARTFORD, CT | |
B | 06/18/1991 - 08/06/1991 | MINNEAPOLIS, MN | |
B | 06/18/1991 - 08/06/1991 | MINNEAPOLIS, MN | |
B | 05/30/1989 - 07/01/1991 | WALTHAM, MA | |
B | 04/13/1989 - 06/20/1989 | WESTLAKE, TX | |
B | 02/17/1987 - 10/04/1988 | ||
B | 08/19/1986 - 10/21/1986 |
For additional information about investment advisers or broker-dealers, please visit
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.