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THERESA M. PRINTY
THERESA MORRISON BROCK, THERESA MARIE MIKOLAJ, THERESA MARIE MORRISON
CRD#: 4169928
IA
B
UBS FINANCIAL SERVICES INC.CRD#: 8174 750 Town and Country Blvd
Suite 400
HOUSTON, TX 77024
Suite 400
HOUSTON, TX 77024
0
Disclosures
23
Years of Experience
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State Registrations
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Arizona 8/13/2010
B
Oklahoma 8/13/2010
B
Georgia 11/6/2017
B
Texas 8/1/2007
B
Illinois 11/6/2017
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Texas 11/14/2008
B
New Mexico 11/8/2019
SRO Registrations
B
B
B
B
B
B
B
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Registered with this firm since 11/14/2008
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Registered with this firm since 2/28/2007
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 02/06/2006 - 04/19/2006 | HOUSTON, TX | |
B | 08/11/2005 - 12/02/2005 | FORT MILL, SC | |
B | 06/30/2005 - 08/12/2005 | DULUTH, GA | |
B | 06/04/2003 - 04/05/2005 | NEW YORK, NY | |
B | 07/28/2000 - 05/14/2003 | WEEHAWKEN, NJ |
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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.