Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
GREGORY THOMAS PLEASANTS
CRD#: 1991846
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 LANDFALL PARK NORTH
1985 EASTWOOD ROAD SUITE 110
WILMINGTON, NC 28403
Registration History
199019952000200520102015202020252 FIRMS2002 - Present (22 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1989 - 2002 (13 years)IAMERRILL LYNCH PIERCE FENNER & ... (CRD# 7691)2002 - 2002 (<1 year)
Disclosure(s)
View By:
7/14/1994
Customer Dispute
Settled
License(s)

State Registrations

B
California 11/8/2002
B
New Jersey 11/8/2002
B
Colorado 2/15/2017
B
New Mexico 11/8/2002
B
Connecticut 11/8/2002
B
New York 11/8/2002
B
Delaware 11/8/2002
B
North Carolina 11/8/2002
B
District of Columbia 9/22/2003
IA
North Carolina 11/15/2002
B
Florida 11/8/2002
B
Ohio 11/18/2024
B
Georgia 11/8/2002
B
Oregon 11/8/2002
B
Hawaii 3/1/2018
B
Pennsylvania 11/8/2002
B
Illinois 11/8/2002
B
South Carolina 11/8/2002
B
Indiana 11/8/2002
B
Tennessee 11/8/2002
B
Maine 10/4/2016
B
Texas 7/11/2003
B
Maryland 11/8/2002
IA
Texas 3/23/2005
B
Massachusetts 11/8/2002
B
Utah 11/14/2012
B
Michigan 11/8/2002
B
Virginia 11/8/2002
B
Mississippi 6/11/2018
IA
Virginia 1/22/2025
B
Montana 1/14/2025
B
Washington 11/8/2002
B
Nevada 3/18/2025
B
West Virginia 11/16/2020

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)
LANDFALL PARK NORTH 1985 EASTWOOD ROAD SUITE 110, WILMINGTON, NC 28403
1985 EASTWOOD ROAD, WILMINGTON, NC 28403
Registered with this firm since 11/15/2002
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
LANDFALL PARK NORTH 1985 EASTWOOD ROAD SUITE 110, WILMINGTON, NC 28403
1985 EASTWOOD ROAD, WILMINGTON, NC 28403
Registered with this firm since 11/8/2002
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/18/2002 - 11/14/2002 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) WILMINGTON, NC
B
 10/25/1989 - 11/14/2002 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) 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.