• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
DARRYL WILLIAM RODGERS
CRD#: 4027681
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 ONE NORTH WACKER DRIVE
STE 3300
CHICAGO, IL 60606
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2021 - Present (3 years)BSANFORD C. BERNSTEIN & CO., LLC (CRD# 104474)2014 - 2021 (6 years)BCAVU SECURITIES LLC (CRD# 6906)2012 - 2014 (2 years)BBANC OF AMERICA SECURITIES LLC (CRD# 26091)2003 - 2006 (3 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1999 - 2003 (3 years)IAALLIANCEBERNSTEIN L.P. (CRD# 108477)2015 - 2021 (6 years)
License(s)

State Registrations

B
Alabama 4/12/2021

B
Nebraska 4/12/2021

B
Alaska 4/12/2021

B
Nevada 4/12/2021

B
Arizona 4/12/2021

B
New Hampshire 4/12/2021

B
Arkansas 4/12/2021

B
New Jersey 4/12/2021

B
California 4/12/2021

B
New Mexico 4/12/2021

B
Colorado 4/12/2021

B
New York 4/12/2021

B
Connecticut 4/12/2021

B
North Carolina 4/12/2021

B
Delaware 4/12/2021

B
North Dakota 4/12/2021

B
District of Columbia 4/12/2021

B
Ohio 4/12/2021

B
Florida 4/12/2021

B
Oklahoma 4/12/2021

B
Georgia 4/12/2021

B
Oregon 4/12/2021

B
Hawaii 4/12/2021

B
Pennsylvania 4/12/2021

B
Idaho 4/12/2021

B
Puerto Rico 4/12/2021

B
Illinois 4/12/2021

B
Rhode Island 4/12/2021

IA
Illinois 4/12/2021

B
South Carolina 4/12/2021

B
Indiana 4/12/2021

B
South Dakota 4/12/2021

B
Iowa 4/12/2021

B
Tennessee 4/12/2021

B
Kansas 4/12/2021

B
Texas 4/12/2021

B
Kentucky 4/12/2021

IA
Texas 9/5/2023

B
Louisiana 4/12/2021

B
Utah 4/12/2021

B
Maine 4/12/2021

B
Vermont 4/12/2021

B
Maryland 4/12/2021

B
Virgin Islands 4/12/2021

B
Massachusetts 4/12/2021

B
Virginia 4/12/2021

B
Michigan 4/12/2021

B
Washington 4/12/2021

B
Minnesota 4/12/2021

B
West Virginia 4/12/2021

B
Mississippi 4/12/2021

B
Wisconsin 4/12/2021

B
Missouri 4/12/2021

B
Wyoming 4/12/2021

B
Montana 4/12/2021

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)
ONE NORTH WACKER DRIVE STE 3300, CHICAGO, IL 60606
Registered with this firm since 4/12/2021

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
ONE NORTH WACKER DRIVE STE 3300, CHICAGO, IL 60606
Registered with this firm since 4/12/2021

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/16/2015 - 04/14/2021 ALLIANCEBERNSTEIN L.P. (CRD#:108477) CHICAGO, IL
B
12/04/2014 - 04/14/2021 SANFORD C. BERNSTEIN & CO., LLC (CRD#:104474) CHICAGO, IL
B
05/03/2012 - 10/08/2014 CAVU SECURITIES LLC (CRD#:6906) NEW YORK, NY
B
04/21/2003 - 06/30/2006 BANC OF AMERICA SECURITIES LLC (CRD#:26091) NEW YORK, NY
B
10/27/1999 - 04/28/2003 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
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.