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DERMOT P BERMINGHAM
DERMOT PATRICK BERMINGHAM
CRD#: 3273363
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 299 Park Avenue
8th Floor
New York, NY 10171
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2013 - 2013 (<1 year)2 FIRMS2013 - Present (11 years)BBARCLAYS CAPITAL INC. (CRD# 19714)2008 - 2012 (3 years)BBEAR WAGNER SPECIALISTS LLC (CRD# 32691)2001 - 2009 (7 years)BWAGNER STOTT MERCATOR, L.L.C. (CRD# 31352)1999 - 2001 (1 year)
Disclosure(s)
View By:
12/7/2015
Judgment / Lien
10/21/2014
Judgment / Lien
License(s)

State Registrations

B
Arizona 7/3/2018

IA
New Jersey 9/27/2013

B
California 7/5/2018

B
New Mexico 7/5/2018

B
Colorado 7/11/2018

B
New York 9/27/2013

B
Connecticut 9/27/2013

IA
New York 10/26/2021

B
Delaware 7/6/2018

B
North Carolina 7/12/2018

B
District of Columbia 7/3/2018

B
Ohio 7/3/2018

B
Florida 7/5/2018

B
Pennsylvania 7/4/2018

B
Georgia 5/2/2024

B
Rhode Island 7/10/2018

B
Indiana 4/27/2021

B
South Carolina 9/24/2021

B
Louisiana 1/8/2019

B
South Dakota 7/5/2018

B
Maryland 7/6/2018

B
Tennessee 1/8/2019

B
Massachusetts 7/5/2018

B
Texas 7/6/2018

B
Minnesota 7/9/2018

B
Utah 8/25/2021

B
Missouri 7/5/2018

B
Vermont 7/10/2018

B
Nebraska 1/4/2019

B
Virginia 1/4/2019

B
Nevada 7/10/2018

B
Washington 7/5/2018

B
New Hampshire 1/8/2019

B
Wisconsin 7/5/2018

B
New Jersey 9/27/2013

B
Wyoming 7/5/2018

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)
299 Park Avenue 8th Floor, New York, NY 10171
Basking Ridge, NJ
Registered with this firm since 9/27/2013

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
299 Park Avenue 8th Floor, New York, NY 10171
Basking Ridge, NJ
Registered with this firm since 9/27/2013

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
04/19/2013 - 07/29/2013 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PENNINGTON, NJ
B
02/12/2013 - 07/29/2013 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PENNINGTON, NJ
B
12/01/2008 - 10/24/2012 BARCLAYS CAPITAL INC. (CRD#:19714) NEW YORK, NY
B
04/23/2001 - 03/24/2009 BEAR WAGNER SPECIALISTS LLC (CRD#:32691) NEW YORK, NY
B
10/09/1999 - 04/23/2001 WAGNER STOTT MERCATOR, L.L.C. (CRD#:31352) 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.