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Detailed Report
DAVID NICHOLAS SPIEGEL
CRD#: 432056
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 251 South Lake Avenue
10th Floor
PASADENA, CA 91101
Registration History
19751980198519901995200020052010201520202025IAUBS FINANCIAL SERVICES INC. (CRD# 8174)1997 - Present (27 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)1980 - Present (45 years)BBLYTH EASTMAN DILLON & CO. INC... (CRD# 6361)1974 - 1980 (5 years)
Disclosure(s)
View By:
2/17/2004
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 5/14/1987
B
Missouri 2/23/2023
B
Arkansas 10/23/1998
B
Nevada 5/5/1987
B
California 3/23/1984
B
New Hampshire 4/26/2013
IA
California 7/8/1997
B
New Jersey 7/4/2024
B
Colorado 6/8/2022
B
New Mexico 3/18/2010
B
Connecticut 11/11/2021
B
New York 9/7/1981
B
District of Columbia 8/12/2021
B
North Carolina 10/31/2006
B
Florida 2/17/1987
B
North Dakota 2/23/2023
B
Georgia 10/17/2014
B
Ohio 8/10/1998
B
Hawaii 3/16/2011
B
Oklahoma 2/23/2023
B
Idaho 2/23/2023
B
Oregon 2/11/1982
B
Illinois 1/22/2024
B
Pennsylvania 6/18/1997
B
Indiana 12/9/2016
B
South Carolina 9/27/2019
B
Kansas 3/17/2023
B
Tennessee 2/23/2023
B
Kentucky 4/1/2025
B
Texas 12/13/1984
B
Louisiana 2/15/2006
IA
Texas 9/28/2006
B
Maine 6/20/1990
B
Utah 1/10/2008
B
Maryland 4/15/2022
B
Virginia 11/23/2005
B
Massachusetts 5/5/1987
B
Washington 6/19/1989
B
Michigan 3/8/2021
B
Wisconsin 2/23/2023
B
Minnesota 9/19/2007

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)
251 South Lake Avenue 10th Floor, PASADENA, CA 91101
San Marinoi, CA
Registered with this firm since 7/8/1997
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
251 South Lake Avenue 10th Floor, PASADENA, CA 91101
San Marinoi, CA
Registered with this firm since 1/31/1980
Previous Registration(s)
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B
 03/27/1974 - 01/31/1980 BLYTH EASTMAN DILLON & CO. INCORPORATED (CRD#:6361)
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.