Individual Firm
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ANTHONY CHARLES COMER
ANTHONY C COMER, TONY COMER
CRD#: 3142533
IA
B
UBS FINANCIAL SERVICES INC.CRD#: 8174 1780 Hughes Landing Blvd.
SUITE 200
THE WOODLANDS, TX 77380-1687
SUITE 200
THE WOODLANDS, TX 77380-1687
View By:
11/15/2019
Customer Dispute
Settled
State Registrations
B
Arizona 2/28/2020
B
Mississippi 5/14/2009
B
California 12/1/2008
B
Missouri 2/2/2009
B
Colorado 10/11/2010
B
Montana 1/25/2018
B
Connecticut 12/21/2020
B
North Carolina 2/8/2019
B
District of Columbia 6/2/2016
B
Oklahoma 9/27/2011
B
Florida 7/18/2012
B
Oregon 2/28/2011
B
Hawaii 1/13/2009
B
Tennessee 6/13/2024
B
Idaho 5/24/2011
B
Texas 12/1/2008
B
Louisiana 12/1/2008
IA
Texas 12/1/2008
B
Maryland 12/1/2008
B
Virginia 12/1/2008
B
Michigan 9/27/2011
B
Washington 2/2/2009
SRO Registrations
B
B
B
B
B
B
B
B
B
B
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IA
Registered with this firm since 12/1/2008
B
Registered with this firm since 12/1/2008
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/01/2001 - 12/16/2008 | THE WOODLANDS, TX | |
B | 04/12/2001 - 12/16/2008 | THE WOODLANDS, TX | |
B | 12/14/1998 - 04/17/2001 | NEW YORK, NY |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.