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DAVID ROBERT TRICKER
CRD#: 4310108
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 DEERFIELD COMMONS
12600 DEERFIELD PARKWAY
ALPHARETTA, GA 30004
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2013 - Present (11 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2011 - 2013 (2 years)BOTR GLOBAL TRADING LLC (CRD# 138116)2009 - 2010 (1 year)BOPPENHEIMER & CO. INC. (CRD# 249)2008 - 2008 (<1 year)BCIBC WORLD MARKETS CORP. (CRD# 630)2001 - 2008 (6 years)
License(s)

State Registrations

B
Connecticut 8/28/2014

B
North Carolina 3/16/2016

B
Florida 9/17/2013

B
South Carolina 12/14/2016

B
Georgia 9/17/2013

B
Texas 11/14/2014

IA
Georgia 10/31/2013

IA
Texas 11/25/2014

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)
DEERFIELD COMMONS 12600 DEERFIELD PARKWAY, ALPHARETTA, GA 30004
Alpharetta, GA
Registered with this firm since 10/31/2013

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
DEERFIELD COMMONS 12600 DEERFIELD PARKWAY, ALPHARETTA, GA 30004
Alpharetta, GA
Registered with this firm since 9/17/2013

Previous Registration(s)
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B
06/02/2011 - 09/30/2013 J.P. MORGAN SECURITIES LLC (CRD#:79) ATLANTA, GA
B
01/15/2009 - 02/02/2010 OTR GLOBAL TRADING LLC (CRD#:138116) PURCHASE, NY
B
01/14/2008 - 06/18/2008 OPPENHEIMER & CO. INC. (CRD#:249) ATLANTA, GA
B
02/06/2001 - 01/14/2008 CIBC WORLD MARKETS CORP. (CRD#:630) ATLANTA, GA
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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.