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SHAWN LLOYD MEEKS
CRD#: 1696123
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 225 108th Avenue NE
Suite 800
Bellevue, WA 98004
Registration History
199019952000200520102015202020252 FIRMS2006 - Present (18 years)BPIPER JAFFRAY & CO. (CRD# 665)1998 - 2006 (7 years)BU.S. BANCORP INVESTMENTS, INC. (CRD# 17868)1997 - 1998 (1 year)BU.S. BANCORP SECURITIES (CRD# 17439)1996 - 1997 (1 year)BMURPHEY FAVRE, INC. (CRD# 599)1993 - 1995 (1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1988 - 1991 (2 years)BFIRST INVESTORS CORPORATION (CRD# 305)1987 - 1988 (1 year)IAPIPER JAFFRAY & CO. (CRD# 665)1999 - 2006 (7 years)
Disclosure(s)
View By:
3/19/2008
Customer Dispute
Denied
3/14/2008
Customer Dispute
Settled
2/16/2007
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 8/12/2006

B
Missouri 11/15/2024

B
Alaska 12/6/2018

B
Montana 8/12/2006

B
Arizona 8/12/2006

B
Nevada 10/3/2018

B
California 8/12/2006

B
New Jersey 12/6/2018

B
Colorado 12/7/2018

B
New York 12/6/2018

B
Connecticut 12/6/2018

B
North Carolina 12/7/2018

B
Delaware 7/18/2024

B
Ohio 12/6/2018

B
District of Columbia 12/11/2018

B
Oregon 8/12/2006

B
Florida 2/18/2010

B
South Carolina 12/10/2018

B
Georgia 11/18/2022

B
Tennessee 3/15/2021

B
Hawaii 4/12/2019

IA
Texas 8/12/2006

B
Idaho 12/6/2018

B
Texas 11/16/2022

B
Illinois 12/6/2018

B
Utah 12/7/2018

B
Indiana 1/27/2024

B
Vermont 12/22/2023

B
Iowa 1/21/2020

B
Virginia 12/6/2018

B
Louisiana 12/7/2018

B
Washington 8/12/2006

B
Maryland 8/12/2006

IA
Washington 8/12/2006

B
Massachusetts 1/22/2020

B
Wisconsin 12/26/2016

B
Minnesota 9/9/2022

B
Wyoming 12/6/2018

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

View Exams Passed by the individual in the detailed report

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)
225 108th Avenue NE Suite 800, Bellevue, WA 98004
Registered with this firm since 8/12/2006

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
225 108th Avenue NE Suite 800, Bellevue, WA 98004
Registered with this firm since 8/12/2006

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
05/18/1999 - 08/12/2006 PIPER JAFFRAY & CO. (CRD#:665) SEATTLE, WA
B
11/16/1998 - 08/12/2006 PIPER JAFFRAY & CO. (CRD#:665) SEATTLE, WA
B
09/03/1997 - 11/16/1998 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) SAINT PAUL, MN
B
02/05/1996 - 09/03/1997 U.S. BANCORP SECURITIES (CRD#:17439) PORTLAND, OR
B
07/13/1993 - 05/10/1995 MURPHEY FAVRE, INC. (CRD#:599) IRVINE, CA
B
10/19/1988 - 04/05/1991 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
07/15/1987 - 09/20/1988 FIRST INVESTORS CORPORATION (CRD#:305)
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Broker
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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.