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JEFFREY ROBERTS DUNIGAN
JEFF DUNIGAN
CRD#: 2284586
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 1200 PROSPECT STREET
Suite 100
LA JOLLA, CA 92037
Registration History
19952000200520102015202020252 FIRMS2009 - 2010 (<1 year)2 FIRMS2010 - Present (14 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1994 - 2009 (14 years)BA. G. EDWARDS & SONS, INC. (CRD# 4)1992 - 1994 (1 year)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1997 - 2009 (11 years)
Disclosure(s)
View By:
12/2/2010
Customer Dispute
Closed-No Action
License(s)

State Registrations

B
California 4/29/2010

B
Missouri 6/22/2023

IA
California 4/30/2010

B
New York 9/14/2020

B
Florida 10/9/2017

B
North Carolina 3/14/2016

B
Illinois 3/29/2023

B
Oregon 4/10/2012

B
Massachusetts 2/18/2016

B
Utah 10/30/2015

B
Michigan 1/30/2012

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)
1200 PROSPECT STREET Suite 100, LA JOLLA, CA 92037
Registered with this firm since 4/30/2010

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1200 PROSPECT STREET Suite 100, LA JOLLA, CA 92037
Registered with this firm since 4/29/2010

Previous Registration(s)
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IA
06/01/2009 - 05/24/2010 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) LA JOLLA, CA
B
06/01/2009 - 05/24/2010 MORGAN STANLEY SMITH BARNEY (CRD#:149777) LA JOLLA, CA
IA
07/08/1997 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) LA JOLLA, CA
B
08/15/1994 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) LA JOLLA, CA
B
11/30/1992 - 08/17/1994 A. G. EDWARDS & SONS, INC. (CRD#:4) ST. LOUIS, MO
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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.