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Detailed Report
JUSTIN DANIEL EQUITZ
CRD#: 2997607
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 20 PACIFICA
IRVINE, CA 92618
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2000 - 2009 (8 years)2 FIRMS2009 - Present (15 years)
License(s)

State Registrations

B
Alabama 2/5/2015
B
Nevada 5/1/2009
B
Alaska 9/17/2013
B
New Hampshire 6/23/2021
B
Arizona 5/1/2009
B
New Jersey 4/29/2022
B
Arkansas 12/11/2009
B
New Mexico 5/1/2009
B
California 5/1/2009
B
New York 5/1/2009
IA
California 5/1/2009
B
North Carolina 6/25/2009
B
Colorado 5/1/2009
B
North Dakota 6/28/2022
B
Delaware 3/24/2025
B
Ohio 5/1/2009
B
District of Columbia 10/13/2023
B
Oklahoma 7/22/2009
B
Florida 5/1/2009
B
Oregon 5/1/2009
B
Georgia 7/6/2009
B
Pennsylvania 5/1/2009
B
Hawaii 2/1/2010
B
Rhode Island 11/15/2021
B
Idaho 5/1/2009
B
South Carolina 6/25/2009
B
Illinois 5/1/2009
B
South Dakota 6/25/2009
B
Indiana 6/15/2022
B
Tennessee 6/25/2009
B
Iowa 2/26/2019
B
Texas 5/1/2009
B
Kansas 6/25/2009
IA
Texas 6/25/2009
B
Louisiana 8/9/2022
B
Utah 6/25/2009
B
Maryland 7/15/2009
B
Virginia 7/7/2009
B
Michigan 5/1/2009
B
Washington 5/1/2009
B
Minnesota 12/9/2019
B
West Virginia 12/14/2009
B
Mississippi 5/1/2009
B
Wisconsin 6/1/2015
B
Missouri 5/1/2009
B
Wyoming 1/19/2018
B
Montana 5/1/2009

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)
20 PACIFICA, IRVINE, CA 92618
Registered with this firm since 5/1/2009
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
20 PACIFICA, IRVINE, CA 92618
Registered with this firm since 5/1/2009
Previous Registration(s)
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IA
 12/27/2000 - 05/21/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) ORANGE, CA
B
 09/08/2000 - 05/21/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) ORANGE, CA
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.