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Detailed Report
SCOTT R CHAMBERLAIN
CRD#: 2561998
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 10801 W. CHARLESTON BLVD
LAS VEGAS, NV 89135
Registration History
19952000200520102015202020252 FIRMS1999 - 2009 (9 years)2 FIRMS2009 - Present (16 years)BSIGNATOR INVESTORS, INC. (CRD# 468)1995 - 1999 (4 years)BJOHN HANCOCK MUTUAL LIFE INSUR... (CRD# 5181)1995 - 1997 (2 years)
Disclosure(s)
View By:
7/30/2015
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 4/24/2024
B
Nevada 1/5/2009
B
Arizona 12/24/2009
IA
Nevada 1/5/2009
B
Arkansas 8/11/2022
B
New Hampshire 4/24/2024
B
California 1/5/2009
B
New Jersey 7/26/2021
B
Colorado 9/6/2016
B
New Mexico 9/5/2019
B
Connecticut 1/28/2021
B
New York 8/14/2015
B
Florida 8/14/2015
B
North Carolina 4/24/2024
B
Georgia 7/2/2013
B
Ohio 7/28/2015
B
Hawaii 5/11/2022
B
Oklahoma 9/30/2009
B
Idaho 6/27/2014
B
Oregon 8/14/2015
B
Illinois 1/5/2009
B
Pennsylvania 1/28/2021
B
Indiana 7/9/2014
B
Tennessee 6/3/2022
B
Iowa 7/21/2022
B
Texas 5/21/2019
B
Kansas 9/2/2022
IA
Texas 6/3/2019
B
Massachusetts 1/28/2021
B
Utah 8/31/2016
B
Michigan 11/5/2009
B
Virginia 8/14/2015
B
Minnesota 5/24/2022
B
Washington 1/4/2019
B
Missouri 8/14/2015
B
Wisconsin 2/16/2017
B
Montana 8/14/2015
B
Wyoming 1/28/2021

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)
10801 W. CHARLESTON BLVD, LAS VEGAS, NV 89135
Registered with this firm since 1/5/2009
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
10801 W. CHARLESTON BLVD, LAS VEGAS, NV 89135
Registered with this firm since 1/5/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 11/04/1999 - 01/08/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) LAS VEGAS, NV
B
 09/16/1999 - 01/08/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) LAS VEGAS, NV
B
 02/24/1995 - 10/26/1999 SIGNATOR INVESTORS, INC. (CRD#:468) BOSTON, MA
B
 02/24/1995 - 05/01/1997 JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY (CRD#:5181) BOSTON, MA
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.