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Detailed Report
UTE LEHMANN
UTE ALCOCK
CRD#: 4310519
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 370-17TH STREET
DENVER, CO 80202
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2004 - 2016 (11 years)2 FIRMS2016 - 2023 (6 years)2 FIRMS2023 - Present (1 year)BA. G. EDWARDS & SONS, INC. (CRD# 4)2003 - 2004 (<1 year)IAA. G. EDWARDS & SONS, INC. (CRD# 4)2004 - 2004 (<1 year)
License(s)

State Registrations

B
Alabama 5/25/2023
B
Illinois 5/4/2023
B
Arizona 5/4/2023
B
Maine 5/4/2023
B
California 5/4/2023
B
Maryland 5/4/2023
B
Colorado 5/4/2023
B
Montana 5/4/2023
IA
Colorado 5/4/2023
B
Texas 5/4/2023

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)
370-17TH STREET, DENVER, CO 80202
DENVER,, CO
Registered with this firm since 5/4/2023
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
370-17TH STREET, DENVER, CO 80202
DENVER,, CO
Registered with this firm since 5/4/2023
Previous Registration(s)
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IA
 07/05/2016 - 05/23/2023 MORGAN STANLEY (CRD#:149777) Greenwood Village, CO
B
 06/24/2016 - 05/23/2023 MORGAN STANLEY (CRD#:149777) Greenwood Village, CO
IA
 09/03/2004 - 05/31/2016 UBS FINANCIAL SERVICES INC. (CRD#:8174) MIAMI, FL
B
 09/03/2004 - 05/31/2016 UBS FINANCIAL SERVICES INC. (CRD#:8174) MIAMI, FL
IA
 01/05/2004 - 09/16/2004 A. G. EDWARDS & SONS, INC. (CRD#:4) ATLANTA, GA
B
 12/08/2003 - 09/16/2004 A. G. EDWARDS & SONS, INC. (CRD#:4) ST. LOUIS, MO
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.