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JOHN SCOTT MATHEWS
CRD#: 1600878
IA
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UBS FINANCIAL SERVICES INC.CRD#: 8174 101 East Kennedy Boulevard, Suite 1800
TAMPA, FL 33602
TAMPA, FL 33602
0
Disclosures
38
Years of Experience
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State Registrations
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Alabama 6/29/2016
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Nebraska 6/29/2016
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Alaska 6/29/2016
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Nevada 6/29/2016
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Arizona 6/29/2016
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New Hampshire 6/29/2016
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Arkansas 6/29/2016
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New Jersey 2/7/1994
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California 6/29/2016
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New Mexico 6/29/2016
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Colorado 6/29/2016
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New York 2/7/1994
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Connecticut 6/29/2016
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New York 5/8/2023
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Delaware 6/29/2016
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North Carolina 6/29/2016
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District of Columbia 6/29/2016
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North Carolina 6/22/2023
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Florida 2/7/1994
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North Dakota 6/29/2016
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Florida 2/7/1994
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Ohio 6/29/2016
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Georgia 6/29/2016
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Oklahoma 6/29/2016
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Hawaii 6/29/2016
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Oregon 6/29/2016
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Idaho 6/29/2016
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Pennsylvania 6/29/2016
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Illinois 6/29/2016
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Puerto Rico 6/29/2016
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Indiana 6/29/2016
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Rhode Island 6/29/2016
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Iowa 6/29/2016
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South Carolina 6/29/2016
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Kansas 6/29/2016
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South Dakota 6/29/2016
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Kentucky 1/6/2004
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Tennessee 6/29/2016
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Kentucky 6/29/2016
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Texas 6/29/2016
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Louisiana 6/29/2016
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Utah 6/29/2016
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Maine 6/29/2016
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Vermont 6/29/2016
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Maryland 6/29/2016
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Virgin Islands 6/29/2016
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Massachusetts 6/29/2016
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Virginia 6/29/2016
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Michigan 6/29/2016
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Washington 6/29/2016
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Minnesota 6/29/2016
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West Virginia 6/29/2016
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Mississippi 6/29/2016
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Wisconsin 6/29/2016
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Missouri 6/29/2016
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Wyoming 6/29/2016
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Montana 6/29/2016
SRO Registrations
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Registered with this firm since 2/7/1994
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Registered with this firm since 2/7/1994
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 07/26/1991 - 02/17/1994 | NEW YORK, NY | |
B | 12/06/1990 - 07/31/1991 | JACKSONVILLE, FL | |
B | 04/11/1988 - 12/13/1990 | NEW YORK, NY | |
B | 12/26/1986 - 04/11/1988 |
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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.
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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.