Individual Firm
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DAVID NEUGEBAUER CANCIENNE
DAVID N CANCIENNE
CRD#: 2243961
IA
B
UBS FINANCIAL SERVICES INC.CRD#: 8174 909 Poydras Street
Suite 2900
NEW ORLEANS, LA 70112
Suite 2900
NEW ORLEANS, LA 70112
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12/10/2008
Customer Dispute
Denied
State Registrations
B
Alabama 10/1/2008
B
Maryland 7/20/2022
B
Arizona 7/20/2022
B
Mississippi 10/1/2008
B
Arkansas 1/3/2023
B
Missouri 1/13/2011
B
California 7/20/2022
B
North Carolina 10/1/2008
B
Colorado 7/27/2022
B
Oklahoma 1/29/2020
B
Florida 10/1/2008
B
Oregon 7/21/2022
B
Georgia 1/23/2025
B
South Carolina 10/25/2019
B
Idaho 5/10/2023
B
Tennessee 4/23/2024
B
Indiana 7/25/2022
IA
Texas 5/19/2009
B
Kentucky 5/15/2023
B
Texas 3/8/2013
B
Louisiana 10/1/2008
B
Virginia 10/1/2008
IA
Louisiana 10/1/2008
SRO Registrations
B
B
B
B
B
B
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 10/1/2008
B
Registered with this firm since 10/1/2008
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/03/2005 - 10/03/2008 | BATON ROUGE, LA | |
B | 07/01/2003 - 10/03/2008 | BATON ROUGE, LA | |
B | 10/16/2000 - 07/01/2003 | NEW YORK, NY | |
B | 07/29/1996 - 10/19/2000 | NEW YORK, NY | |
B | 06/22/1992 - 07/31/1996 | WEEHAWKEN, NJ |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.