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DENNIS SCOTT FALKOWSKI
CRD#: 1956837
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 600 WEST BROADWAY
SUITE 2100
SAN DIEGO, CA 92101
Registration History
199019952000200520102015202020252 FIRMS2007 - 2008 (1 year)2 FIRMS2008 - Present (16 years)BMORGAN STANLEY DW INC. (CRD# 7556)1989 - 2007 (17 years)IAMORGAN STANLEY (CRD# 7556)1997 - 2007 (9 years)
Disclosure(s)
View By:
12/10/2003
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 2/28/2011

B
Minnesota 4/22/2014

B
Alaska 2/14/2025

B
Mississippi 12/8/2008

B
Arizona 12/8/2008

B
Missouri 6/12/2014

B
Arkansas 12/12/2023

B
Nebraska 8/21/2024

B
California 12/8/2008

B
Nevada 1/4/2011

IA
California 12/8/2008

B
New Jersey 2/26/2013

B
Colorado 8/11/2020

B
New Mexico 11/30/2022

B
Connecticut 1/25/2016

B
New York 5/25/2010

B
Delaware 3/11/2011

B
North Carolina 1/3/2022

B
District of Columbia 6/20/2018

B
Ohio 12/18/2020

B
Florida 2/26/2019

B
Oklahoma 12/12/2022

B
Georgia 1/29/2009

B
Oregon 2/5/2010

B
Hawaii 10/24/2022

B
Pennsylvania 12/14/2011

B
Idaho 5/29/2015

B
South Carolina 2/11/2019

B
Illinois 11/15/2024

B
Tennessee 1/28/2013

B
Indiana 4/6/2023

B
Texas 12/8/2008

B
Kansas 11/8/2023

IA
Texas 12/8/2008

B
Louisiana 12/17/2024

B
Virginia 2/23/2011

B
Maryland 6/4/2012

B
Washington 12/8/2008

B
Massachusetts 3/17/2020

B
Wisconsin 3/26/2009

B
Michigan 12/8/2008

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)
600 WEST BROADWAY SUITE 2100, SAN DIEGO, CA 92101
San Diego, CA
Registered with this firm since 12/8/2008

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
600 WEST BROADWAY SUITE 2100, SAN DIEGO, CA 92101
San Diego, CA
Registered with this firm since 12/8/2008

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
04/02/2007 - 12/26/2008 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) SAN DIEGO, CA
B
04/02/2007 - 12/26/2008 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) SAN DIEGO, CA
IA
07/08/1997 - 04/02/2007 MORGAN STANLEY (CRD#:7556) LA MESA, CA
B
06/21/1989 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) LA MESA, CA
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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.