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Registration History
19952000200520102015202020252 FIRMS1993 - 2008 (14 years)2 FIRMS2008 - Present (16 years)
Disclosure(s)
View By:
2/15/2018
Customer Dispute
Award / Judgment
3/18/2013
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 8/11/2021

B
New Mexico 6/15/2022

B
Arizona 8/19/2021

B
New York 7/10/2012

B
Arkansas 6/28/2022

B
North Carolina 4/27/2022

B
California 4/18/2008

IA
North Carolina 4/15/2024

B
Colorado 4/18/2008

B
North Dakota 11/14/2022

B
Connecticut 5/26/2021

B
Oklahoma 6/15/2022

B
Florida 4/18/2008

B
Oregon 6/3/2021

B
Georgia 4/6/2016

B
Pennsylvania 4/18/2008

B
Illinois 8/15/2022

B
South Carolina 6/13/2012

B
Indiana 10/17/2016

B
Tennessee 6/16/2022

B
Louisiana 4/18/2008

B
Texas 4/18/2008

B
Maryland 12/4/2015

IA
Texas 4/18/2008

B
Massachusetts 5/29/2018

B
Utah 6/21/2022

B
Michigan 1/24/2011

B
Virginia 1/24/2022

B
Minnesota 6/23/2022

B
Washington 5/26/2021

B
Mississippi 11/15/2022

B
West Virginia 8/22/2024

B
Nevada 9/24/2012

B
Wisconsin 8/11/2021

B
New Jersey 9/29/2021

B
Wyoming 8/20/2021

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)
4400 POST OAK PARKWAY, HOUSTON, TX 77027
Bellaire, TX
Registered with this firm since 4/18/2008

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
4400 POST OAK PARKWAY, HOUSTON, TX 77027
Bellaire, TX
Registered with this firm since 4/18/2008

Previous Registration(s)
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IA
06/24/1993 - 04/22/2008 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) HOUSTON, TX
B
06/15/1993 - 04/22/2008 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) HOUSTON, TX
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.