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Detailed Report
ALEXANDER DOWD ARMSTRONG
CRD#: 4039280
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 301 COMMERCE
FT. WORTH, TX 76102
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS1999 - 2004 (4 years)2 FIRMS2004 - 2015 (11 years)2 FIRMS2015 - Present (9 years)
License(s)

State Registrations

B
Arizona 11/25/2015
B
Mississippi 10/30/2015
B
Arkansas 3/31/2021
B
Missouri 10/29/2024
B
California 10/30/2015
B
Montana 2/19/2021
B
Colorado 10/30/2015
B
Nebraska 3/22/2024
B
District of Columbia 10/30/2015
B
New Jersey 10/30/2015
B
Florida 10/30/2015
B
New Mexico 10/30/2015
B
Georgia 10/30/2015
B
New York 10/30/2015
B
Kansas 5/15/2019
B
North Carolina 10/30/2015
B
Kentucky 8/11/2020
B
Ohio 2/10/2025
B
Louisiana 10/30/2015
B
Pennsylvania 12/16/2022
B
Maryland 10/30/2015
B
Texas 10/30/2015
B
Michigan 11/20/2015
IA
Texas 10/30/2015
B
Minnesota 2/26/2018
B
Virginia 5/16/2023

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)
301 COMMERCE, FT. WORTH, TX 76102
Registered with this firm since 10/30/2015
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
301 COMMERCE, FT. WORTH, TX 76102
Registered with this firm since 10/30/2015
Previous Registration(s)
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IA
 07/02/2004 - 11/02/2015 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) FORT WORTH, TX
B
 07/02/2004 - 11/02/2015 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) FORT WORTH, TX
IA
 12/09/1999 - 07/23/2004 UBS FINANCIAL SERVICES INC. (CRD#:8174) FORT WORTH, TX
B
 11/18/1999 - 07/23/2004 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEEHAWKEN, NJ
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.