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Detailed Report
DAVID SEAN MAHER
DAVE MAHER
CRD#: 1972439
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 600 SUPERIOR AVE E. - 27TH FLOOR
CLEVELAND, OH 44114
Registration History
19901995200020052010201520202025IAUBS FINANCIAL SERVICES INC. (CRD# 8174)1999 - Present (25 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)1995 - Present (30 years)BKIDDER, PEABODY & CO. INCORPORATED (CRD# 7613)1989 - 1995 (5 years)
License(s)

State Registrations

B
Alabama 6/24/2022
B
New Hampshire 6/29/2022
B
Arizona 6/8/1998
B
New Jersey 10/6/1999
B
California 1/28/1995
B
New Mexico 1/25/2002
B
Colorado 8/7/2000
B
New York 5/11/2000
B
Connecticut 8/21/2007
B
North Carolina 1/12/2012
B
District of Columbia 1/16/2018
B
North Dakota 11/23/2020
B
Florida 1/28/1995
B
Ohio 1/28/1995
IA
Florida 2/27/2023
IA
Ohio 8/16/1999
B
Georgia 1/28/1995
B
Oregon 5/6/2021
B
Idaho 6/24/2022
B
Pennsylvania 1/28/1995
B
Illinois 1/28/1995
B
Rhode Island 3/14/2024
B
Indiana 4/10/2020
B
South Carolina 4/24/2018
B
Kentucky 1/28/1995
B
South Dakota 6/24/2022
B
Maine 5/22/2014
B
Tennessee 6/25/2020
B
Maryland 4/14/1998
B
Texas 8/7/2000
B
Massachusetts 3/30/2009
IA
Texas 9/19/2002
B
Michigan 1/28/1995
B
Utah 2/2/2001
B
Minnesota 7/5/2022
B
Vermont 3/13/2017
B
Missouri 8/8/2000
B
Virginia 1/21/1999
B
Montana 11/23/2020
B
Washington 1/28/1995
B
Nebraska 3/27/2013
B
Wisconsin 11/23/2020
B
Nevada 1/30/2014

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)
600 SUPERIOR AVE E. - 27TH FLOOR, CLEVELAND, OH 44114
Registered with this firm since 8/16/1999
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
600 SUPERIOR AVE E. - 27TH FLOOR, CLEVELAND, OH 44114
Registered with this firm since 1/28/1995
Previous Registration(s)
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B
 07/26/1989 - 01/28/1995 KIDDER, PEABODY & CO. INCORPORATED (CRD#:7613) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.