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LANCE DANE MARTIN
CRD#: 2929603
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 6120 South Yale Avenue
Suite 1800
TULSA, OK 74136
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2003 - 2015 (12 years)2 FIRMS2015 - Present (9 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1997 - 2003 (5 years)IAPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1998 - 2003 (5 years)
Disclosure(s)
View By:
9/24/2015
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 9/18/2015

B
New Jersey 9/18/2015

B
Arkansas 9/18/2015

B
New York 9/18/2015

B
California 9/18/2015

B
North Carolina 9/18/2015

B
Colorado 9/18/2015

B
Oklahoma 9/18/2015

B
Florida 9/18/2015

IA
Oklahoma 9/18/2015

B
Illinois 9/18/2015

B
Oregon 10/9/2015

B
Kansas 9/18/2015

B
Pennsylvania 9/18/2015

B
Kentucky 9/18/2015

B
Tennessee 9/18/2015

B
Maryland 9/18/2015

B
Texas 9/18/2015

B
Michigan 3/5/2020

IA
Texas 9/18/2015

B
Missouri 9/18/2015

B
Utah 12/9/2024

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

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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)
6120 South Yale Avenue Suite 1800, TULSA, OK 74136
Registered with this firm since 9/18/2015

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
6120 South Yale Avenue Suite 1800, TULSA, OK 74136
Registered with this firm since 9/18/2015

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
07/01/2003 - 09/25/2015 WELLS FARGO ADVISORS, LLC (CRD#:19616) TULSA, OK
B
07/01/2003 - 09/25/2015 WELLS FARGO ADVISORS, LLC (CRD#:19616) TULSA, OK
IA
02/23/1998 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) TULSA, OK
B
09/10/1997 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) 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.