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FRANK POWERS III
CRD#: 1681371
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 100 West Putnam Avenue
2nd floor
GREENWICH, CT 06830
Registration History
199019952000200520102015202020252 FIRMS1998 - 1998 (<1 year)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2009 - Present (15 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2005 - Present (19 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2003 - 2005 (1 year)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)2000 - 2002 (1 year)BSG COWEN SECURITIES CORPORATION (CRD# 7616)1998 - 2000 (2 years)BPRIME CHARTER LTD. (CRD# 25668)1996 - 1997 (<1 year)BSMITH BARNEY INC. (CRD# 7059)1995 - 1996 (<1 year)BCS FIRST BOSTON CORPORATION (CRD# 816)1991 - 1994 (3 years)BPAINEWEBBER INCORPORATED (CRD# 8174)1990 - 1990 (<1 year)
License(s)

State Registrations

B
California 11/22/2010

B
New Jersey 11/15/2010

B
Connecticut 8/9/2005

B
New York 9/18/2009

IA
Connecticut 3/24/2009

IA
New York 4/8/2024

B
Florida 9/18/2009

B
South Carolina 11/18/2024

B
Massachusetts 6/23/2023

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)
100 West Putnam Avenue 2nd floor, GREENWICH, CT 06830
600 Washington Blvd 9TH FLOOR, STAMFORD, CT 06901
Registered with this firm since 3/24/2009

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
100 West Putnam Avenue 2nd floor, GREENWICH, CT 06830
600 Washington Blvd 9TH FLOOR, STAMFORD, CT 06901
Registered with this firm since 8/9/2005

Previous Registration(s)
th hidden textth hidden textNameLocation
B
11/21/2003 - 07/08/2005 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW YORK, NY
B
08/22/2000 - 03/15/2002 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
07/01/1998 - 09/06/2000 SG COWEN SECURITIES CORPORATION (CRD#:7616) NEW YORK, NY
B
03/04/1998 - 07/01/1998 COWEN & CO. (CRD#:1541) NEW YORK, NY
B
01/09/1998 - 03/11/1998 WIT CAPITAL CORPORATION (CRD#:41499) OLD GREENWICH, CT
B
08/30/1996 - 05/22/1997 PRIME CHARTER LTD. (CRD#:25668) NEW YORK, NY
B
11/15/1995 - 04/22/1996 SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
05/16/1991 - 05/02/1994 CS FIRST BOSTON CORPORATION (CRD#:816) NEW YORK, NY
B
07/31/1990 - 12/13/1990 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
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Disclosures
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