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Detailed Report
COLLEEN REGINA SCHUHMANN
COLLEEN REGINA HASEY
CRD#: 2729877
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 5100 TOWN CENTER CIRCLE_
TOWER 2 - 6TH FLOOR
BOCA RATON, FL 33486
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS1996 - 2005 (8 years)2 FIRMS2005 - Present (19 years)
Disclosure(s)
View By:
7/14/2023
Customer Dispute
Settled
License(s)

State Registrations

B
California 4/1/2005
B
Missouri 3/27/2013
B
Connecticut 4/1/2005
B
New Hampshire 9/9/2005
B
Florida 4/4/2005
B
New Jersey 4/1/2005
IA
Florida 4/4/2005
B
New York 4/1/2005
B
Georgia 8/21/2020
B
Pennsylvania 5/23/2023
B
Louisiana 5/23/2023
B
Rhode Island 5/23/2023
B
Maine 9/10/2008
B
Tennessee 4/1/2005
B
Maryland 5/20/2009
IA
Texas 3/5/2009
B
Massachusetts 1/25/2023
B
Texas 3/30/2015
B
Michigan 4/1/2005
B
Virginia 3/27/2007
B
Minnesota 11/9/2020

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)
5100 TOWN CENTER CIRCLE_ TOWER 2 - 6TH FLOOR, BOCA RATON, FL 33486
1800 NORTH MILITARY TRAIL SUITE 300, BOCA RATON, FL 33431
Registered with this firm since 4/4/2005
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
5100 TOWN CENTER CIRCLE_ TOWER 2 - 6TH FLOOR, BOCA RATON, FL 33486
1800 NORTH MILITARY TRAIL SUITE 300, BOCA RATON, FL 33431
Registered with this firm since 4/1/2005
Previous Registration(s)
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IA
 07/16/1996 - 04/07/2005 A. G. EDWARDS & SONS, INC. (CRD#:4) BOYNTON BEACH, FL
B
 07/11/1996 - 04/07/2005 A. G. EDWARDS & SONS, INC. (CRD#:4) ST. LOUIS, MO
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.