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Detailed Report
HENRI CHARLES MOREAU
HENRI MOREAU
CRD#: 2525298
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 805 SW BROADWAY
SUITE 2600
PORTLAND, OR 97205
Registration History
1995200020052010201520202025IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2021 - Present (4 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)1994 - Present (30 years)
License(s)

State Registrations

B
Arizona 7/23/1996
B
New Jersey 11/2/2021
B
California 12/22/1994
B
New York 12/11/2002
B
Colorado 7/25/2001
B
North Carolina 11/2/2021
B
Connecticut 11/2/2021
B
Ohio 7/25/1996
B
Florida 11/2/2021
B
Oklahoma 1/19/2023
B
Georgia 12/22/1994
B
Oregon 10/20/1994
B
Hawaii 12/11/2017
B
Pennsylvania 11/17/2020
B
Idaho 10/12/2004
B
South Carolina 12/11/2019
B
Illinois 12/22/1994
B
Tennessee 11/2/2021
B
Indiana 12/20/2024
B
Texas 4/9/2002
B
Iowa 6/9/2022
IA
Texas 3/15/2021
B
Massachusetts 11/2/2021
B
Utah 11/2/2021
B
Michigan 11/2/2021
B
Virginia 7/5/2022
B
Minnesota 1/3/1995
B
Washington 12/12/1994
B
Missouri 11/20/2018
IA
Washington 7/1/2021
B
Montana 11/2/2021
B
West Virginia 10/12/2004
B
Nebraska 1/12/2015
B
Wisconsin 12/22/1994
B
Nevada 11/16/2017
B
Wyoming 11/2/2021

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)
805 SW BROADWAY SUITE 2600, PORTLAND, OR 97205
760 SW 9th Ave Suite 2450, PORTLAND, OR 97205
Registered with this firm since 3/15/2021
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
805 SW BROADWAY SUITE 2600, PORTLAND, OR 97205
760 SW 9th Ave Suite 2450, PORTLAND, OR 97205
Registered with this firm since 10/13/1994
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.