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DIANA MARIE FREEBURG
CRD#: 2436234
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 32300 NORTHWESTERN HWY STE 150
FARMINGTON HILLS, MI 48334
Registration History
19952000200520102015202020252 FIRMS2005 - 2013 (8 years)2 FIRMS2013 - Present (11 years)BCOMERICA SECURITIES (CRD# 17079)1993 - 2005 (11 years)BFIMCO SECURITIES GROUP, INC. (CRD# 30343)1994 - 1994 (<1 year)IACOMERCIA SECURITIES (CRD# 17079)2004 - 2005 (<1 year)
Disclosure(s)
View By:
4/13/2009
Customer Dispute
Settled
1/7/1999
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 5/31/2013

B
New Hampshire 10/20/2017

B
California 5/31/2013

B
New York 5/31/2013

B
Colorado 10/9/2014

B
North Carolina 5/31/2013

B
Florida 5/31/2013

B
Ohio 5/31/2013

B
Georgia 1/16/2018

B
Oklahoma 1/10/2020

B
Illinois 5/31/2013

B
Pennsylvania 1/22/2015

B
Indiana 6/7/2013

B
Rhode Island 10/3/2017

B
Kentucky 1/8/2020

B
South Carolina 5/31/2013

B
Massachusetts 11/19/2015

B
Tennessee 6/11/2014

B
Michigan 5/31/2013

B
Texas 5/31/2013

IA
Michigan 6/7/2013

IA
Texas 5/31/2013

B
Minnesota 5/31/2013

B
Virginia 5/31/2013

B
Missouri 8/4/2016

B
Washington 5/31/2013

B
Montana 5/31/2013

B
Wisconsin 1/6/2020

B
Nevada 5/5/2021

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)
32300 NORTHWESTERN HWY STE 150, FARMINGTON HILLS, MI 48334
Waterford, MI
Registered with this firm since 5/31/2013

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
32300 NORTHWESTERN HWY STE 150, FARMINGTON HILLS, MI 48334
Waterford, MI
Registered with this firm since 5/31/2013

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
03/11/2005 - 06/03/2013 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) FARMINGTON HILLS, MI
B
03/11/2005 - 06/03/2013 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) FARMINGTON HILLS, MI
IA
05/06/2004 - 03/21/2005 COMERCIA SECURITIES (CRD#:17079) BLOOMFIELD HILLS, MI
B
12/22/1993 - 03/21/2005 COMERICA SECURITIES (CRD#:17079) DETROIT, MI
B
02/17/1994 - 03/17/1994 FIMCO SECURITIES GROUP, INC. (CRD#:30343) PORT WASHINGTON, WI
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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.