Individual Firm
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JAY W WILLIAMS
CRD#: 4168744
IA
B
UBS FINANCIAL SERVICES INC.CRD#: 8174 6070 POPLAR AVENUE
SUITE 400
MEMPHIS, TN 38119
SUITE 400
MEMPHIS, TN 38119
View By:
8/28/2009
Customer Dispute
Settled
State Registrations
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Arizona 5/28/2015
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New York 5/24/2019
B
Arkansas 6/24/2021
B
Ohio 10/9/2020
B
California 12/22/2008
B
Oregon 3/30/2015
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Colorado 3/25/2015
B
Pennsylvania 12/8/2016
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Colorado 9/27/2023
B
South Dakota 7/9/2024
B
Connecticut 6/3/2019
B
Tennessee 12/22/2008
B
Delaware 12/22/2020
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Tennessee 12/23/2008
B
Florida 11/19/2012
B
Texas 12/22/2008
B
Hawaii 1/3/2017
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Texas 3/19/2009
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Idaho 1/10/2018
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Vermont 8/8/2023
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Indiana 11/1/2022
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Virginia 12/22/2008
B
Kentucky 12/22/2008
B
Washington 1/6/2017
B
Louisiana 7/20/2021
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Washington 3/20/2020
B
Mississippi 12/22/2008
B
Wisconsin 1/3/2023
B
Nevada 4/7/2015
B
Wyoming 12/3/2024
SRO Registrations
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View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 12/23/2008
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Registered with this firm since 12/22/2008
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/28/2004 - 12/12/2008 | MEMPHIS, TN | |
B | 04/22/2004 - 12/12/2008 | MEMPHIS, TN | |
B | 02/24/2003 - 05/12/2004 | ATLANTA, GA | |
B | 06/21/2000 - 11/08/2001 | NEW YORK, NY |
For additional information about investment advisers or broker-dealers, please visit
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.