Individual Firm
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JEFFREY DUANE REYNOLDS
JEFFERY DUANE REYNOLDS
CRD#: 1807865
IA
B
UBS FINANCIAL SERVICES INC.CRD#: 8174 101 East Kennedy Boulevard, Suite 1800
TAMPA, FL 33602
TAMPA, FL 33602
View By:
5/13/2016
Customer Dispute
Denied
6/23/2008
Customer Dispute
Denied
State Registrations
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Alabama 7/15/2024
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Minnesota 7/2/2024
B
Arizona 7/2/2024
B
Mississippi 7/16/2024
B
Arkansas 7/4/2024
B
Missouri 7/2/2024
B
California 7/2/2024
B
Nebraska 7/16/2024
B
Colorado 7/2/2024
B
Nevada 7/9/2024
B
Connecticut 7/2/2024
B
New Hampshire 7/2/2024
B
Delaware 7/2/2024
B
New Jersey 7/2/2024
B
District of Columbia 7/16/2024
B
New Mexico 7/16/2024
B
Florida 7/2/2024
B
New York 7/2/2024
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Florida 7/9/2024
B
North Carolina 8/7/2024
B
Georgia 7/2/2024
B
Ohio 7/2/2024
B
Hawaii 7/2/2024
B
Oklahoma 7/2/2024
B
Idaho 7/2/2024
B
Oregon 8/9/2024
B
Illinois 7/2/2024
B
Pennsylvania 7/2/2024
B
Indiana 7/10/2024
B
Rhode Island 7/2/2024
B
Iowa 7/2/2024
B
South Carolina 7/2/2024
B
Kansas 7/2/2024
B
Tennessee 7/2/2024
B
Kentucky 7/2/2024
B
Texas 7/2/2024
B
Louisiana 7/2/2024
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Texas 8/12/2024
B
Maine 7/2/2024
B
Utah 7/2/2024
B
Maryland 7/2/2024
B
Virginia 7/2/2024
B
Massachusetts 7/3/2024
B
Washington 7/2/2024
B
Michigan 7/2/2024
B
West Virginia 7/2/2024
SRO Registrations
B
B
B
B
B
B
B
B
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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 7/9/2024
B
Registered with this firm since 7/2/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/01/2009 - 07/11/2024 | Tampa, FL | |
B | 06/01/2009 - 07/11/2024 | Tampa, FL | |
IA | 04/02/2007 - 06/01/2009 | TAMPA, FL | |
B | 04/02/2007 - 06/01/2009 | TAMPA, FL | |
IA | 09/01/2006 - 04/02/2007 | TAMPA, FL | |
B | 09/01/2006 - 04/02/2007 | TAMPA, FL | |
IA | 02/18/1993 - 09/08/2006 | TAMPA, FL | |
B | 02/12/1993 - 09/08/2006 | TAMPA, FL |
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.