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LEAH SCHILLECI DUBBERLY
LEAH S DUBBERLY
CRD#: 2462818
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 4001 CARMICHAEL ROAD
SUITE 400
MONTGOMERY, AL 36106
Registration History
19952000200520102015202020252 FIRMS1994 - 2012 (18 years)2 FIRMS2012 - Present (12 years)
Disclosure(s)
View By:
7/19/2011
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 11/26/2012

B
North Carolina 5/28/2014

IA
Alabama 11/26/2012

B
South Carolina 1/11/2017

B
Arizona 2/17/2021

B
Tennessee 11/26/2012

B
Florida 11/26/2012

B
Texas 11/26/2012

IA
Florida 4/28/2021

IA
Texas 11/26/2012

B
Georgia 11/26/2012

B
Virginia 10/26/2016

B
Indiana 2/20/2015

B
West Virginia 8/21/2024

B
Kentucky 5/21/2018

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)
4001 CARMICHAEL ROAD SUITE 400, MONTGOMERY, AL 36106
Montgomery, AL
Registered with this firm since 11/26/2012

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
4001 CARMICHAEL ROAD SUITE 400, MONTGOMERY, AL 36106
Montgomery, AL
Registered with this firm since 11/26/2012

Previous Registration(s)
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IA
07/07/1994 - 11/28/2012 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) MONTGOMERY, AL
B
05/12/1994 - 11/28/2012 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) MONTGOMERY, AL
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B
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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.