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MONTY LEROY WAMBOLD
MONTY WAMBOLD
CRD#: 1857479
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 1 NORTH WACKER DRIVE
32ND & 33RD
CHICAGO, IL 60606
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS1997 - Present (27 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1996 - 1997 (<1 year)
License(s)

State Registrations

B
Alabama 1/30/2012

B
Montana 1/30/2012

B
Alaska 1/30/2012

B
Nebraska 1/30/2012

B
Arizona 9/20/1999

B
Nevada 2/6/1997

B
Arkansas 1/30/2012

B
New Hampshire 1/30/2012

B
California 2/7/1997

B
New Jersey 6/4/1997

B
Colorado 1/30/2012

B
New Mexico 1/30/2012

B
Connecticut 2/14/2006

B
New York 3/6/1997

B
Delaware 2/14/2006

B
North Carolina 2/14/2006

B
District of Columbia 2/14/2006

B
North Dakota 1/30/2012

B
Florida 2/19/1997

B
Ohio 3/11/1997

B
Georgia 2/18/1997

B
Oklahoma 9/29/2010

B
Hawaii 1/30/2012

B
Oregon 1/30/2012

B
Idaho 1/30/2012

B
Pennsylvania 4/16/1998

B
Illinois 2/4/1997

B
Puerto Rico 1/30/2012

IA
Illinois 11/6/1997

B
Rhode Island 1/30/2012

B
Indiana 1/30/2012

B
South Carolina 1/30/2012

B
Iowa 2/6/1997

B
South Dakota 1/30/2012

B
Kansas 1/30/2012

B
Tennessee 1/30/2012

B
Kentucky 2/14/2006

B
Texas 3/10/1997

B
Louisiana 1/30/2012

B
Utah 1/30/2012

B
Maine 2/14/2006

B
Vermont 1/30/2012

B
Maryland 1/30/2012

B
Virgin Islands 1/30/2012

B
Massachusetts 2/14/2006

B
Virginia 2/10/1997

B
Michigan 1/15/1999

B
Washington 1/30/2012

B
Minnesota 1/30/2012

B
West Virginia 7/31/1997

B
Mississippi 1/30/2012

B
Wisconsin 2/10/1997

B
Missouri 1/30/2012

B
Wyoming 1/30/2012

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)
1 NORTH WACKER DRIVE 32ND & 33RD, CHICAGO, IL 60606
Registered with this firm since 11/6/1997

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1 NORTH WACKER DRIVE 32ND & 33RD, CHICAGO, IL 60606
Registered with this firm since 1/31/1997

Previous Registration(s)
th hidden textth hidden textNameLocation
B
12/03/1996 - 01/29/1997 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
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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.