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WILLIAM BOONE FINNERTY
CRD#: 2581783
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 1501 K STREET NORTH WEST
11TH FLOOR
WASHINGTON, DC 20005
Registration History
19952000200520102015202020252 FIRMS2003 - Present (21 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1995 - 2003 (8 years)IAMERRILL LYNCH PIERCE FENNER & ... (CRD# 7691)1994 - 2003 (9 years)
Disclosure(s)
View By:
9/18/2002
Customer Dispute
Denied
8/1/2001
Customer Dispute
Denied
License(s)

State Registrations

B
California 11/7/2003

B
New York 11/7/2003

B
Connecticut 9/23/2014

B
North Carolina 2/21/2007

B
Delaware 3/8/2022

B
Ohio 6/25/2019

B
District of Columbia 11/7/2003

B
Oregon 1/31/2024

IA
District of Columbia 11/7/2003

B
Pennsylvania 12/22/2017

B
Florida 11/7/2003

B
Puerto Rico 10/30/2024

B
Illinois 10/11/2011

B
South Carolina 9/26/2019

B
Maryland 11/7/2003

B
Tennessee 10/12/2012

IA
Maryland 7/3/2023

IA
Texas 5/30/2018

B
Massachusetts 9/27/2011

B
Texas 4/29/2022

B
Mississippi 9/12/2017

B
Virginia 11/7/2003

B
Nevada 8/7/2015

IA
Virginia 7/3/2023

B
New Hampshire 5/11/2007

B
West Virginia 10/1/2019

B
New Jersey 7/13/2011

B
Wyoming 5/18/2017

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
North Arlington, VA
Registered with this firm since 11/7/2003

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1501 K STREET NORTH WEST 11TH FLOOR, WASHINGTON, DC 20005
North Arlington, VA
Registered with this firm since 11/7/2003

Previous Registration(s)
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IA
09/30/1994 - 11/11/2003 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) WASHINGTON, DC
B
03/07/1995 - 11/11/2003 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
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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.