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ANTHONY WARREN NYE
ANTHONY NYE
CRD#: 2647830
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 1610 ARDEN WAY
SACRAMENTO, CA 95815
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS1997 - 2003 (6 years)2 FIRMS2003 - 2009 (5 years)2 FIRMS2009 - Present (16 years)BFRANKLIN/TEMPLETON DISTRIBUTOR... (CRD# 332)1995 - 1997 (1 year)
Disclosure(s)
View By:
4/4/2000
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 1/9/2025

B
Montana 1/2/2009

B
Alaska 1/9/2025

B
Nebraska 1/9/2025

B
Arizona 2/22/2012

B
Nevada 1/2/2009

B
Arkansas 1/9/2025

B
New Hampshire 1/9/2025

B
California 1/2/2009

B
New Jersey 1/9/2025

IA
California 1/2/2009

B
New Mexico 1/9/2025

B
Colorado 11/29/2018

B
New York 1/9/2025

B
Connecticut 1/9/2025

B
North Carolina 1/9/2025

B
Delaware 1/9/2025

B
Ohio 1/31/2025

B
District of Columbia 1/9/2025

B
Oklahoma 12/11/2020

B
Florida 7/15/2022

B
Oregon 1/2/2009

B
Hawaii 1/9/2025

B
Pennsylvania 1/9/2025

B
Idaho 8/18/2017

B
South Carolina 1/9/2025

B
Illinois 1/2/2009

B
South Dakota 1/9/2025

B
Indiana 1/9/2025

B
Tennessee 1/9/2025

B
Iowa 1/9/2025

B
Texas 1/2/2009

B
Louisiana 1/9/2025

IA
Texas 4/6/2009

B
Maine 1/9/2025

B
Utah 1/9/2025

B
Maryland 1/9/2025

B
Vermont 1/9/2025

B
Massachusetts 1/2/2009

B
Virginia 1/9/2025

B
Michigan 1/9/2025

B
Washington 1/2/2009

B
Minnesota 12/15/2014

B
Wisconsin 1/9/2025

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)
1610 ARDEN WAY, SACRAMENTO, CA 95815
Registered with this firm since 1/2/2009

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1610 ARDEN WAY, SACRAMENTO, CA 95815
Registered with this firm since 1/2/2009

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
07/01/2003 - 01/05/2009 WACHOVIA SECURITIES, LLC (CRD#:19616) SACRAMENTO, CA
B
07/01/2003 - 01/05/2009 WACHOVIA SECURITIES, LLC (CRD#:19616) SACRAMENTO, CA
IA
07/08/1997 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) SACRAMENTO, CA
B
07/11/1997 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
11/01/1995 - 06/30/1997 FRANKLIN/TEMPLETON DISTRIBUTORS, INC. (CRD#:332) SAN MATEO, CA
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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.