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MARC EDMOND HAGGAR
CRD#: 4146965
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 100 CRESCENT COURT
SUITE 600
DALLAS, TX 75201
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2000 - 2007 (7 years)2 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - 2011 (2 years)2 FIRMS2011 - Present (13 years)
Disclosure(s)
View By:
4/10/2023
Customer Dispute
Settled
3/3/2023
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 2/9/2023

B
Maryland 8/23/2023

B
California 12/6/2011

B
Nevada 1/15/2021

B
Colorado 10/14/2021

B
New York 4/1/2020

B
Connecticut 6/23/2020

B
Texas 12/6/2011

B
Florida 3/5/2018

IA
Texas 12/6/2011

IA
Florida 2/22/2024

B
Utah 4/20/2022

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)
100 CRESCENT COURT SUITE 600, DALLAS, TX 75201
Registered with this firm since 12/6/2011

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
100 CRESCENT COURT SUITE 600, DALLAS, TX 75201
Registered with this firm since 12/6/2011

Previous Registration(s)
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IA
06/01/2009 - 12/22/2011 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) DALLAS, TX
B
06/01/2009 - 12/22/2011 MORGAN STANLEY SMITH BARNEY (CRD#:149777) DALLAS, TX
IA
04/20/2007 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) DALLAS, TX
B
04/20/2007 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) DALLAS, TX
IA
07/10/2000 - 04/23/2007 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) DALLAS, TX
B
04/24/2000 - 04/23/2007 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) DALLAS, TX
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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.