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DAVID ALAN MELBY
CRD#: 2413077
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 1 TOWER LANE-STE 1700
OAKBROOK TERRACE TOWER
OAKBROOK TERRACE, IL 60181
Registration History
19952000200520102015202020252 FIRMS2003 - 2009 (6 years)2 FIRMS2009 - 2016 (7 years)2 FIRMS2016 - Present (8 years)BCIBC WORLD MARKETS CORP. (CRD# 630)1996 - 2003 (6 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1993 - 1996 (2 years)IACIBC WORLD MARKETS CORP. (CRD# 630)2001 - 2003 (1 year)
Disclosure(s)
View By:
7/16/2012
Customer Dispute
Settled
7/19/2011
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 3/4/2016

B
Montana 6/30/2021

B
California 3/4/2016

B
New York 6/7/2021

B
Colorado 6/28/2021

B
North Carolina 3/4/2016

B
District of Columbia 3/19/2021

B
Ohio 3/4/2016

B
Florida 3/4/2016

B
Pennsylvania 3/4/2016

B
Idaho 2/2/2023

B
South Carolina 3/4/2016

B
Illinois 3/4/2016

B
Texas 11/30/2018

IA
Illinois 3/4/2016

IA
Texas 10/28/2019

B
Indiana 3/4/2016

B
Virginia 3/22/2016

B
Massachusetts 3/17/2021

B
Washington 7/30/2020

B
Michigan 3/4/2016

B
Wisconsin 3/4/2016

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)
1 TOWER LANE-STE 1700 OAKBROOK TERRACE TOWER, OAKBROOK TERRACE, IL 60181
Registered with this firm since 3/4/2016

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1 TOWER LANE-STE 1700 OAKBROOK TERRACE TOWER, OAKBROOK TERRACE, IL 60181
Registered with this firm since 3/4/2016

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
02/27/2009 - 03/07/2016 WELLS FARGO ADVISORS, LLC (CRD#:19616) NAPERVILLE, IL
B
02/27/2009 - 03/07/2016 WELLS FARGO ADVISORS, LLC (CRD#:19616) NAPERVILLE, IL
IA
01/03/2003 - 03/02/2009 OPPENHEIMER & CO. INC. (CRD#:249) CHICAGO, IL
B
01/03/2003 - 03/02/2009 OPPENHEIMER & CO. INC. (CRD#:249) CHICAGO, IL
IA
07/24/2001 - 01/03/2003 CIBC WORLD MARKETS CORP. (CRD#:630) CHICAGO, IL
B
09/03/1996 - 01/03/2003 CIBC WORLD MARKETS CORP. (CRD#:630) NEW YORK, NY
B
11/17/1993 - 09/04/1996 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
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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.