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DONALD CHARLES ATHERTON
CRD#: 1865816
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 Spring, TX
Registration History
19952000200520102015202020252 FIRMS2001 - 2005 (4 years)2 FIRMS2005 - 2014 (8 years)2 FIRMS2014 - Present (10 years)BPARK AVENUE SECURITIES LLC (CRD# 46173)1999 - 2001 (2 years)BGUARDIAN INVESTOR SERVICES COR... (CRD# 6635)1994 - 1999 (5 years)
License(s)

State Registrations

B
Arizona 1/9/2024

B
Michigan 6/8/2021

B
Arkansas 7/1/2022

B
Minnesota 4/15/2019

B
California 6/22/2020

B
Mississippi 1/4/2021

B
Colorado 7/28/2021

B
Nevada 5/10/2023

B
Delaware 7/1/2022

B
New Jersey 10/27/2023

B
District of Columbia 9/20/2024

B
New Mexico 1/4/2024

B
Florida 6/19/2020

B
New York 7/1/2022

B
Georgia 7/21/2020

B
North Carolina 9/7/2023

B
Illinois 5/10/2023

B
Oklahoma 10/29/2019

B
Indiana 5/10/2023

B
Pennsylvania 1/4/2021

B
Iowa 7/1/2022

B
Texas 3/18/2014

B
Kansas 4/25/2023

IA
Texas 3/18/2014

B
Louisiana 5/10/2023

B
Utah 7/1/2022

B
Maryland 10/1/2021

B
Virginia 8/6/2019

B
Massachusetts 1/4/2021

B
Washington 7/1/2022

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 principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
Spring, TX
750 Town and Country Blvd Suite 400, HOUSTON, TX 77024
Registered with this firm since 3/18/2014

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
Spring, TX
750 Town and Country Blvd Suite 400, HOUSTON, TX 77024
Registered with this firm since 3/18/2014

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
08/26/2005 - 03/26/2014 LPL FINANCIAL LLC (CRD#:6413) HOUSTON, TX
B
08/26/2005 - 03/26/2014 LPL FINANCIAL LLC (CRD#:6413) HOUSTON, TX
IA
07/18/2001 - 08/10/2005 WOODLANDS ASSET MANAGEMENT INC (CRD#:108122) HOUSTON, TX
B
07/18/2001 - 08/10/2005 WOODLANDS SECURITIES CORPORATION (CRD#:22373) OMAHA, NE
B
05/03/1999 - 07/05/2001 PARK AVENUE SECURITIES LLC (CRD#:46173) NEW YORK, NY
B
03/16/1994 - 05/03/1999 GUARDIAN INVESTOR SERVICES CORPORATION (CRD#:6635) 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.