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THOMAS LEE STONER
CRD#: 1892035
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 3000 A STREET, SUITE 100
ANCHORAGE, AK 99503
Registration History
199019952000200520102015202020252 FIRMS2009 - Present (15 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1993 - 2009 (15 years)BLEHMAN BROTHERS INC. (CRD# 7506)1988 - 1993 (4 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1997 - 2009 (11 years)
Disclosure(s)
View By:
5/7/2009
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 4/29/2016

B
Montana 4/17/2009

B
Alaska 4/17/2009

B
Nevada 4/17/2009

IA
Alaska 4/17/2009

B
Oklahoma 1/2/2025

B
Arizona 4/17/2009

B
Oregon 4/17/2009

B
California 4/17/2009

B
South Dakota 9/6/2018

B
Colorado 4/17/2009

B
Tennessee 1/16/2024

B
Florida 11/26/2024

B
Texas 4/17/2009

B
Hawaii 10/31/2019

IA
Texas 11/12/2010

B
Idaho 8/3/2012

B
Utah 4/17/2009

B
Illinois 4/17/2009

B
Virginia 10/24/2017

B
Michigan 4/7/2015

B
Washington 4/17/2009

B
Minnesota 10/25/2018

B
Wisconsin 12/10/2020

B
Mississippi 2/3/2020

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)
3000 A STREET, SUITE 100, ANCHORAGE, AK 99503
Registered with this firm since 4/17/2009

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
3000 A STREET, SUITE 100, ANCHORAGE, AK 99503
Registered with this firm since 4/17/2009

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
10/29/1997 - 05/08/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) ANCHORAGE, AK
B
07/31/1993 - 05/08/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) ANCHORAGE, AK
B
11/23/1988 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) 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.