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Detailed Report
OLIVER MORGAN HALL JR
JR OLIVER MORGAN HALL, MORGAN OLIVER HALL, MORGAN HALL, O. MORGAN HALL
CRD#: 2110287
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 909 Poydras Street
Suite 2900
NEW ORLEANS, LA 70112
Registration History
19901995200020052010201520202025IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2009 - Present (16 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2008 - Present (16 years)BMORGAN KEEGAN & COMPANY, INC. (CRD# 4161)1998 - 2008 (10 years)BMARQUIS INVESTMENTS, L.L.C. (CRD# 17121)1993 - 1998 (5 years)BINTERSECURITIES, INC. (CRD# 16164)1991 - 1993 (1 year)BPW SECURITIES, INC. (CRD# 6775)1991 - 1991 (<1 year)IAMORGAN KEEGAN & COMPANY, INC. (CRD# 4161)2006 - 2008 (2 years)
Disclosure(s)
View By:
1/12/2010
Customer Dispute
Pending
License(s)

State Registrations

B
Alabama 8/6/2021
B
Mississippi 11/12/2008
B
Arizona 1/7/2019
B
Missouri 1/7/2019
B
California 11/12/2008
B
New Hampshire 1/8/2024
B
Colorado 9/11/2015
B
New York 1/7/2019
B
Florida 12/20/2017
B
North Carolina 11/12/2008
B
Georgia 1/30/2019
B
Tennessee 4/11/2024
B
Indiana 5/18/2015
IA
Texas 2/10/2009
B
Kentucky 9/29/2022
B
Texas 11/19/2015
B
Louisiana 11/12/2008
B
Utah 8/5/2019
IA
Louisiana 5/6/2016
B
Virginia 1/8/2019
B
Maryland 1/10/2019
B
Washington 1/7/2019
B
Massachusetts 12/16/2021
B
Wisconsin 1/7/2019
B
Michigan 1/9/2019

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)
909 Poydras Street Suite 2900, NEW ORLEANS, LA 70112
Registered with this firm since 2/10/2009
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
909 Poydras Street Suite 2900, NEW ORLEANS, LA 70112
Registered with this firm since 11/12/2008
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/19/2006 - 11/12/2008 MORGAN KEEGAN & COMPANY, INC. (CRD#:4161) NEW ORLEANS, LA
B
 03/27/1998 - 11/12/2008 MORGAN KEEGAN & COMPANY, INC. (CRD#:4161) NEW ORLEANS, LA
B
 01/06/1993 - 04/08/1998 MARQUIS INVESTMENTS, L.L.C. (CRD#:17121)
B
 04/01/1991 - 01/06/1993 INTERSECURITIES, INC. (CRD#:16164) PHILADELPHIA, PA
B
 01/01/1991 - 04/01/1991 PW SECURITIES, INC. (CRD#:6775)
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.