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Detailed Report
DEBORAH SUE GRAVES
DEBORAH SUE BARTLETTJOHNSON, DEBBIE GRAVES, DEBORAH S GRAVES
CRD#: 2942091
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 301 COMMERCE Ste 2800
FT. WORTH, TX 76102
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2009 - Present (16 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2007 - 2009 (1 year)BTD AMERITRADE, INC. (CRD# 7870)2006 - 2007 (1 year)BAMERITRADE, INC. (CRD# 5633)2002 - 2006 (4 years)BAMERITRADE (CRD# 36559)1999 - 2001 (2 years)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2008 - 2009 (<1 year)
License(s)

State Registrations

B
California 4/17/2009
B
New Mexico 3/6/2012
B
Florida 10/3/2011
B
Tennessee 2/3/2020
B
Georgia 8/24/2020
B
Texas 2/20/2009
B
Idaho 6/25/2019
IA
Texas 2/20/2009
B
Illinois 8/3/2018
B
Washington 3/3/2021
B
Michigan 1/16/2014

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)
301 COMMERCE Ste 2800, FT. WORTH, TX 76102
Fort Worth, TX
Registered with this firm since 2/20/2009
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
301 COMMERCE Ste 2800, FT. WORTH, TX 76102
Fort Worth, TX
Registered with this firm since 2/20/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 12/23/2008 - 02/23/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) FORT WORTH, TX
B
 06/14/2007 - 02/23/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) FORT WORTH, TX
B
 01/26/2006 - 06/11/2007 TD AMERITRADE, INC. (CRD#:7870) FORT WORTH, TX
B
 01/03/2002 - 01/30/2006 AMERITRADE, INC. (CRD#:5633) OMAHA, NE
B
 05/05/1999 - 12/31/2001 AMERITRADE (CRD#:36559) BELLEVUE, NE
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.