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DAVID REYNOLDS AVERY
CRD#: 4015103
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 ONE MONARCH PLACE
SUITE 1400
SPRINGFIELD, MA 01144
Registration History
20002002200420062008201020122014201620182020202220242026IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2022 - Present (2 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2009 - Present (16 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1999 - 2009 (9 years)
License(s)

State Registrations

B
Arizona 5/5/2020

B
New Jersey 1/5/2009

B
California 1/3/2019

B
New Mexico 5/5/2020

B
Colorado 5/11/2009

B
New York 1/5/2009

B
Connecticut 1/5/2009

B
North Carolina 5/5/2020

B
District of Columbia 8/17/2023

B
Ohio 3/12/2019

B
Florida 1/5/2009

B
Oregon 11/9/2017

IA
Florida 10/3/2022

B
Pennsylvania 1/5/2009

B
Georgia 5/5/2020

B
Puerto Rico 11/18/2020

B
Hawaii 7/16/2024

B
Rhode Island 5/5/2020

B
Idaho 6/17/2024

B
South Carolina 2/25/2015

B
Illinois 8/30/2017

B
Tennessee 8/9/2017

B
Indiana 7/29/2010

B
Texas 5/16/2019

B
Kansas 5/5/2020

IA
Texas 9/30/2022

B
Maine 1/5/2009

B
Utah 5/5/2020

IA
Maine 10/27/2022

B
Vermont 1/5/2009

B
Maryland 1/5/2009

B
Virginia 1/5/2009

B
Massachusetts 1/5/2009

B
Washington 4/2/2013

B
Michigan 1/5/2009

B
Wisconsin 5/5/2020

B
New Hampshire 2/23/2011

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

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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)
ONE MONARCH PLACE SUITE 1400, SPRINGFIELD, MA 01144
Arundel, ME
Registered with this firm since 9/30/2022

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
ONE MONARCH PLACE SUITE 1400, SPRINGFIELD, MA 01144
Arundel, ME
Registered with this firm since 1/5/2009

Previous Registration(s)
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B
10/06/1999 - 01/08/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PITTSFIELD, MA
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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.