• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
NICOLA C BARBER
NICI BARBER
CRD#: 2369383
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 Lynden, WA
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2006 - Present (18 years)BPIPER JAFFRAY & CO. (CRD# 665)2001 - 2006 (4 years)IAPIPER JAFFRAY & CO. (CRD# 665)2002 - 2006 (4 years)
License(s)

State Registrations

B
Arizona 6/1/2020

B
Texas 2/21/2020

B
California 8/12/2006

B
Washington 8/12/2006

B
Oregon 7/2/2019

IA
Washington 8/12/2006

IA
Texas 8/12/2006

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Texas, 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)
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
Lynden, WA
2219 Rimland Dr Suite 301, Bellingham, WA 98226
Registered with this firm since 8/12/2006

IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
Lynden, WA
2219 Rimland Dr Suite 301, Bellingham, WA 98226
Registered with this firm since 8/12/2006

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
04/23/2002 - 08/12/2006 PIPER JAFFRAY & CO. (CRD#:665) BELLINGHAM, WA
B
11/28/2001 - 08/12/2006 PIPER JAFFRAY & CO. (CRD#:665) BELLINGHAM, WA
For additional information about investment advisers or broker-dealers, please visit
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.