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JOSEPH PATRICK DRIER III
CRD#: 2158263
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 1099 HINGHAM STREET
ROCKLAND, MA 02370
Registration History
1995200020052010201520202025IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2008 - Present (16 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2007 - Present (17 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1999 - 2007 (8 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1996 - 1999 (2 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1992 - 1996 (4 years)BHAWTHORNE SECURITIES CORPORATION (CRD# 7278)1991 - 1992 (<1 year)
Disclosure(s)
View By:
3/6/1998
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 1/11/2018

B
Montana 1/23/2018

B
Arizona 1/11/2018

B
Nevada 1/11/2018

B
Arkansas 1/11/2018

B
New Hampshire 11/23/2007

B
California 11/23/2007

B
New Jersey 11/23/2007

B
Colorado 11/23/2007

B
New York 11/23/2007

B
Connecticut 11/23/2007

B
North Carolina 11/21/2016

B
Florida 11/23/2007

B
Ohio 1/11/2018

B
Georgia 1/11/2018

B
Oregon 1/11/2018

B
Idaho 9/5/2019

B
Pennsylvania 11/23/2007

B
Illinois 1/11/2018

B
Rhode Island 11/23/2007

B
Indiana 2/10/2021

B
South Carolina 6/22/2015

B
Kentucky 2/10/2021

B
Tennessee 1/11/2018

B
Louisiana 1/23/2018

IA
Texas 8/11/2008

B
Maine 1/11/2018

B
Texas 1/23/2018

B
Maryland 3/25/2013

B
Utah 1/11/2018

B
Massachusetts 11/23/2007

B
Vermont 11/23/2007

B
Michigan 4/5/2010

B
Virginia 11/23/2007

B
Minnesota 1/11/2018

B
Washington 1/11/2018

B
Mississippi 3/26/2021

B
Wisconsin 1/11/2018

B
Missouri 1/11/2018

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)
1099 HINGHAM STREET, ROCKLAND, MA 02370
Registered with this firm since 8/11/2008

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1099 HINGHAM STREET, ROCKLAND, MA 02370
Registered with this firm since 11/23/2007

Previous Registration(s)
th hidden textth hidden textNameLocation
B
10/22/1999 - 12/06/2007 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) BOSTON, MA
B
12/13/1996 - 10/21/1999 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
02/18/1992 - 12/23/1996 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
B
07/19/1991 - 02/25/1992 HAWTHORNE SECURITIES CORPORATION (CRD#:7278) GLEN ALLEN, VA
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B
Broker
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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.