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Detailed Report
GREGORY JOSEPH HABIG
GREG HABIG
CRD#: 2376935
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 200 E. MAIN STREET
FORT WAYNE, IN 46801
Registration History
19952000200520102015202020252 FIRMS2009 - Present (16 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1993 - 2009 (15 years)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1998 - 2009 (10 years)
Disclosure(s)
View By:
7/5/2006
Criminal
Final Disposition
License(s)

State Registrations

B
Alabama 1/30/2009
B
Missouri 2/17/2017
B
Arizona 1/17/2018
B
New Jersey 12/16/2021
B
California 1/30/2009
B
New York 1/30/2009
B
Colorado 1/30/2009
B
North Carolina 1/30/2009
B
Connecticut 1/30/2009
B
Ohio 1/30/2009
B
District of Columbia 8/14/2024
B
Oregon 9/22/2014
B
Florida 9/17/2009
B
Pennsylvania 1/30/2009
B
Idaho 1/30/2009
B
South Carolina 9/21/2018
B
Illinois 1/30/2009
B
Tennessee 1/30/2009
IA
Indiana 1/30/2009
B
Texas 2/20/2009
B
Indiana 2/4/2009
IA
Texas 2/23/2009
B
Kentucky 1/30/2009
B
Virginia 5/24/2022
B
Maryland 11/9/2012
B
Washington 3/7/2023
B
Michigan 3/26/2009

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)
200 E. MAIN STREET, FORT WAYNE, IN 46801
Registered with this firm since 1/30/2009
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
200 E. MAIN STREET, FORT WAYNE, IN 46801
Registered with this firm since 1/30/2009
Previous Registration(s)
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IA
 12/15/1998 - 02/04/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) FORT WAYNE, IN
B
 09/09/1993 - 02/04/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) FORT WAYNE, IN
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.