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LYNN ALISSA FIELD
LYNN A FIELD
CRD#: 2210927
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 444 CEDAR ST
ST PAUL, MN 55101-2108
Registration History
1995200020052010201520202025IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2004 - Present (20 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)1992 - Present (32 years)
Disclosure(s)
View By:
6/2/2008
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 2/11/1993

B
New Mexico 9/6/2016

B
California 5/18/1993

B
New York 1/19/1993

B
Colorado 9/6/2016

B
North Carolina 3/25/2003

B
District of Columbia 9/6/2016

B
North Dakota 9/15/2017

B
Florida 11/15/1994

B
Ohio 3/25/2020

B
Idaho 7/5/2016

B
Oregon 4/21/1997

B
Illinois 1/5/2010

B
Pennsylvania 6/5/2024

B
Kansas 3/29/2018

B
South Carolina 9/6/2016

B
Maryland 7/28/2014

B
South Dakota 3/20/2024

B
Massachusetts 1/25/2018

B
Texas 11/19/1993

B
Michigan 8/24/1992

IA
Texas 6/1/2004

B
Minnesota 5/14/1992

B
Utah 2/28/2023

IA
Minnesota 12/9/2013

B
Virginia 9/6/2016

B
Montana 6/25/2020

B
Washington 12/2/2015

B
Nebraska 10/19/2016

B
Wisconsin 7/13/1992

B
New Jersey 7/2/2021

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)
444 CEDAR ST, ST PAUL, MN 55101-2108
444 CEDAR ST, ST PAUL, MN 55101
Registered with this firm since 6/1/2004

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
444 CEDAR ST, ST PAUL, MN 55101-2108
444 CEDAR ST, ST PAUL, MN 55101
Registered with this firm since 5/12/1992

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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.