Individual Firm
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ANGELA D BENTLEY
Angela D Braun, ANGELA D COLLIER
CRD#: 2662890
IA
B
UBS FINANCIAL SERVICES INC.CRD#: 8174 301 COMMERCE
FT. WORTH, TX 76102
FT. WORTH, TX 76102
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11/9/1987
Criminal
Final Disposition
State Registrations
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Arizona 11/25/2024
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Minnesota 11/12/2024
B
Arkansas 11/13/2024
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Mississippi 11/14/2024
B
California 11/12/2024
B
Missouri 11/12/2024
B
Colorado 11/12/2024
B
Montana 11/14/2024
B
Connecticut 11/12/2024
B
Nebraska 11/12/2024
B
District of Columbia 11/20/2024
B
New Jersey 11/12/2024
B
Florida 11/12/2024
B
New Mexico 11/11/2024
B
Georgia 11/12/2024
B
New York 11/12/2024
B
Kansas 11/12/2024
B
North Carolina 11/13/2024
B
Kentucky 11/15/2024
B
Ohio 11/13/2024
B
Louisiana 12/13/2024
B
Pennsylvania 11/13/2024
B
Maine 11/12/2024
B
Rhode Island 11/12/2024
B
Maryland 11/14/2024
B
Texas 11/6/2015
B
Massachusetts 11/12/2024
IA
Texas 11/6/2015
B
Michigan 11/13/2024
B
Virginia 11/12/2024
SRO Registrations
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IA
Registered with this firm since 11/6/2015
B
Registered with this firm since 11/6/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/25/1998 - 11/02/2015 | FORT WORTH, TX | |
B | 10/20/1998 - 11/02/2015 | FORT WORTH, TX |
FORT WORTH, TX
11/25/1998 - 11/02/2015
FORT WORTH, TX
10/20/1998 - 11/02/2015
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.