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Detailed Report
KRISTIN ELIZABETH BLOOM
KRISTIN ELIZABETH SLANE
CRD#: 2997434
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 8 Wright Street
WESTPORT, CT 06880-4701
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2009 - Present (16 years)BMORGAN STANLEY & CO. INCORPORATED (CRD# 8209)2007 - 2009 (1 year)BMORGAN STANLEY DW INC. (CRD# 7556)2003 - 2007 (3 years)BSANFORD C. BERNSTEIN & CO., LLC (CRD# 104474)2000 - 2003 (2 years)BSANFORD C. BERNSTEIN & CO., INC. (CRD# 1232)1998 - 2000 (2 years)IAMORGAN STANLEY & CO. INCORPORATED (CRD# 8209)2008 - 2009 (<1 year)IAALLIANCE CAPITAL MANAGEMENT L P (CRD# 108477)2002 - 2003 (1 year)
License(s)

State Registrations

B
Arizona 1/12/2023
B
New Mexico 4/21/2022
B
California 8/27/2020
B
New York 1/16/2009
B
Colorado 1/16/2009
B
North Carolina 8/16/2021
B
Connecticut 1/16/2009
B
Ohio 5/19/2022
IA
Connecticut 1/16/2009
B
Oklahoma 8/5/2011
B
Delaware 11/20/2012
B
Oregon 3/27/2019
B
District of Columbia 3/2/2022
B
Pennsylvania 2/13/2019
B
Florida 1/16/2009
B
Rhode Island 1/20/2016
B
Georgia 1/16/2009
B
South Carolina 11/12/2020
B
Illinois 1/16/2009
B
Texas 1/16/2009
B
Maine 7/7/2009
IA
Texas 1/16/2009
B
Maryland 10/20/2020
B
Utah 11/14/2017
B
Massachusetts 1/16/2009
B
Vermont 5/19/2015
B
Michigan 1/12/2023
B
Virginia 1/16/2009
B
Nevada 10/9/2024
B
Washington 10/20/2020
B
New Hampshire 4/21/2022
B
Wisconsin 4/21/2022
B
New Jersey 1/16/2009

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)
8 Wright Street, WESTPORT, CT 06880-4701
Registered with this firm since 1/16/2009
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
8 Wright Street, WESTPORT, CT 06880-4701
Registered with this firm since 1/16/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/14/2008 - 01/23/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) PURCHASE, NY
B
 04/02/2007 - 01/23/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) PURCHASE, NY
B
 06/20/2003 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
IA
 05/22/2002 - 07/07/2003 ALLIANCE CAPITAL MANAGEMENT L P (CRD#:108477) NEW YORK, NY
B
 12/07/2000 - 07/07/2003 SANFORD C. BERNSTEIN & CO., LLC (CRD#:104474) NASHVILLE, TN
B
 04/03/1998 - 12/07/2000 SANFORD C. BERNSTEIN & CO., INC. (CRD#:1232) NEW YORK, NY
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.