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Detailed Report
SCOTT DENNIS FITZENREITER
SCOTT Dennis FITZENREITER
CRD#: 2503714
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 1501 K STREET NORTH WEST
11TH FLOOR
WASHINGTON, DC 20005
Registration History
19952000200520102015202020252 FIRMS1994 - 2022 (28 years)2 FIRMS2022 - Present (2 years)
License(s)

State Registrations

B
Alabama 9/28/2022
B
Mississippi 9/26/2022
B
Arizona 9/26/2022
B
Nebraska 9/26/2022
IA
Arkansas 9/26/2022
B
New Hampshire 9/26/2022
B
California 9/26/2022
B
New Jersey 9/26/2022
B
Colorado 9/26/2022
B
New Mexico 9/26/2022
B
Connecticut 9/26/2022
B
New York 9/26/2022
B
Delaware 9/26/2022
B
North Carolina 9/26/2022
B
District of Columbia 9/26/2022
B
Ohio 9/26/2022
IA
District of Columbia 10/4/2022
B
Oregon 9/26/2022
B
Florida 9/26/2022
B
Pennsylvania 9/26/2022
IA
Florida 9/27/2022
B
South Carolina 9/26/2022
B
Georgia 9/26/2022
IA
South Carolina 9/26/2022
B
Illinois 9/26/2022
B
Tennessee 9/26/2022
B
Indiana 9/26/2022
B
Texas 9/26/2022
B
Kansas 2/7/2024
IA
Texas 9/26/2022
B
Kentucky 9/26/2022
B
Vermont 9/26/2022
B
Louisiana 9/26/2022
B
Virginia 9/26/2022
B
Maine 9/26/2022
IA
Virginia 9/26/2022
B
Maryland 9/26/2022
B
Washington 9/26/2022
B
Massachusetts 9/26/2022
B
West Virginia 9/26/2022
B
Michigan 9/26/2022
B
Wisconsin 9/4/2024

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)
1501 K STREET NORTH WEST 11TH FLOOR, WASHINGTON, DC 20005
Hilton Head Island, SC
Registered with this firm since 9/26/2022
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1501 K STREET NORTH WEST 11TH FLOOR, WASHINGTON, DC 20005
Hilton Head Island, SC
Registered with this firm since 9/26/2022
Previous Registration(s)
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IA
 09/02/1994 - 09/27/2022 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) WASHINGTON, DC
B
 08/09/1994 - 09/27/2022 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) WASHINGTON, DC
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.