• 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.
PATRICK MICHAEL ADAMS
CRD#: 2039213
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 110 S. UNION ST., SUITE 101
ALEXANDRIA, VA 22314
Registration History
199019952000200520102015202020252 FIRMS1993 - 2004 (10 years)2 FIRMS2004 - Present (20 years)BLEHMAN BROTHERS INC. (CRD# 7506)1990 - 1993 (3 years)
Disclosure(s)
View By:
4/22/2008
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 9/2/2009

B
Massachusetts 3/12/2004

B
Arizona 3/12/2004

B
Michigan 4/5/2007

B
California 3/12/2004

B
Minnesota 3/6/2009

B
Colorado 3/12/2004

B
Mississippi 6/11/2018

B
Connecticut 5/31/2005

B
Nevada 6/26/2020

B
Delaware 3/12/2004

B
New Jersey 3/31/2023

B
District of Columbia 3/12/2004

B
New York 3/12/2004

IA
District of Columbia 3/23/2004

B
North Carolina 3/12/2004

B
Florida 3/12/2004

B
Ohio 9/30/2011

B
Georgia 3/12/2004

B
Oregon 10/6/2005

B
Idaho 3/12/2004

B
Pennsylvania 8/28/2009

B
Illinois 8/28/2009

B
South Carolina 3/12/2004

B
Indiana 10/13/2008

B
Texas 3/12/2004

B
Iowa 8/28/2009

IA
Texas 2/23/2005

B
Kentucky 2/29/2024

B
Vermont 3/30/2023

B
Louisiana 7/23/2007

B
Virginia 3/12/2004

B
Maine 9/28/2023

IA
Virginia 4/27/2005

B
Maryland 3/12/2004

B
Washington 3/12/2004

IA
Maryland 6/2/2022

B
West Virginia 1/14/2020

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)
110 S. UNION ST., SUITE 101, ALEXANDRIA, VA 22314
1501 K. STREET NW, WASHINGTON, DC 20005
Registered with this firm since 3/23/2004

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
110 S. UNION ST., SUITE 101, ALEXANDRIA, VA 22314
1501 K. STREET NW, WASHINGTON, DC 20005
Registered with this firm since 3/12/2004

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
07/31/1993 - 03/26/2004 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) ALEXANDRIA, VA
B
07/31/1993 - 03/26/2004 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW YORK, NY
B
03/20/1990 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
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.