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Detailed Report
DIANNA JEAN REISER
DIANNA JEAN ESTOK
CRD#: 2357803
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 600 SUPERIOR AVE EAST
27TH FLOOR
CLEVELAND, OH 44114
Registration History
199820002002200420062008201020122014201620182020202220242026IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2003 - Present (22 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)1997 - Present (27 years)
License(s)

State Registrations

B
Arizona 8/11/2010
B
New Jersey 8/11/2010
B
California 5/14/2014
B
New York 8/11/2010
B
Colorado 8/11/2010
B
Ohio 4/14/1997
B
Connecticut 12/6/2010
IA
Ohio 1/14/2003
B
Florida 8/11/2010
B
Oregon 5/11/2021
B
Georgia 1/6/2011
B
Pennsylvania 7/27/2023
B
Hawaii 11/19/2013
B
Rhode Island 7/27/2021
B
Kentucky 9/3/2010
B
Texas 9/17/2019
B
Maine 5/22/2014
B
Utah 8/11/2010
B
Massachusetts 8/11/2010

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)
600 SUPERIOR AVE EAST 27TH FLOOR, CLEVELAND, OH 44114
600 SUPERIOR AVE E. - 27TH FLOOR, CLEVELAND, OH 44114
Registered with this firm since 1/14/2003
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
600 SUPERIOR AVE EAST 27TH FLOOR, CLEVELAND, OH 44114
600 SUPERIOR AVE E. - 27TH FLOOR, CLEVELAND, OH 44114
Registered with this firm since 4/11/1997
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.