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MARK STEVEN SUDOL
MARK S SUDOL
CRD#: 1559430
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 61 SOUTH PARAMUS ROAD
MACK CENTER IV
PARAMUS, NJ 07652
Registration History
199019952000200520102015202020252 FIRMS2007 - 2007 (<1 year)2 FIRMS2007 - Present (17 years)BMORGAN STANLEY DW INC. (CRD# 7556)1989 - 2007 (18 years)BE. F. HUTTON & COMPANY INC (CRD# 235)1986 - 1987 (1 year)IAMORGAN STANLEY (CRD# 7556)2002 - 2007 (4 years)
Disclosure(s)
View By:
8/20/2015
Customer Dispute
Denied
9/21/2012
Customer Dispute
Settled
8/23/2011
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 6/14/2007

B
New Mexico 6/14/2007

B
Arkansas 6/14/2007

B
New York 6/14/2007

B
California 6/14/2007

B
North Carolina 6/15/2009

B
Colorado 6/14/2007

B
Oregon 10/29/2024

B
Connecticut 6/14/2007

B
Pennsylvania 6/14/2007

IA
Connecticut 10/29/2021

B
South Carolina 6/14/2007

B
Florida 6/14/2007

IA
South Carolina 7/26/2023

B
Georgia 1/8/2025

B
Tennessee 5/22/2019

B
Illinois 6/14/2007

B
Texas 6/14/2007

B
Maryland 6/14/2007

IA
Texas 6/14/2007

B
Massachusetts 6/14/2007

B
Utah 4/29/2021

B
New Hampshire 2/2/2018

B
Virginia 6/14/2007

B
New Jersey 6/14/2007

B
Washington 11/15/2023

IA
New Jersey 6/14/2007

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 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)
61 SOUTH PARAMUS ROAD MACK CENTER IV, PARAMUS, NJ 07652
Goshen, CT
Registered with this firm since 6/14/2007

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
61 SOUTH PARAMUS ROAD MACK CENTER IV, PARAMUS, NJ 07652
Goshen, CT
Registered with this firm since 6/14/2007

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
04/02/2007 - 06/15/2007 MORGAN STANLEY & CO., INCORPORATED (CRD#:8209) PARAMUS, NJ
B
04/02/2007 - 06/15/2007 MORGAN STANLEY & CO., INCORPORATED (CRD#:8209) PARAMUS, NJ
IA
07/15/2002 - 04/02/2007 MORGAN STANLEY (CRD#:7556) PARAMUS, NJ
B
04/04/1989 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) PARAMUS, NJ
B
09/24/1986 - 10/13/1987 E. F. HUTTON & COMPANY INC (CRD#:235)
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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.