Individual Firm
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BRIAN JAMES MARIASH
CRD#: 4371979
IA
B
UBS FINANCIAL SERVICES INC.CRD#: 8174 1819 MAIN STREET
SUITE 900
SARASOTA, FL 34236
SUITE 900
SARASOTA, FL 34236
View By:
12/8/2023
Customer Dispute
Denied
1/27/2009
Customer Dispute
Settled
11/21/2007
Customer Dispute
Settled
State Registrations
B
Alabama 3/6/2023
B
Missouri 3/6/2025
B
Arizona 2/24/2023
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Nevada 6/27/2023
B
Arkansas 2/24/2023
B
New Jersey 2/24/2023
B
California 2/24/2023
IA
New Mexico 6/22/2023
IA
California 6/21/2023
B
New York 2/24/2023
B
Connecticut 2/24/2023
IA
New York 6/21/2023
IA
Connecticut 6/21/2023
B
North Carolina 3/13/2023
B
Delaware 12/20/2023
B
Ohio 2/24/2023
B
Florida 3/6/2023
B
Oklahoma 3/13/2023
IA
Florida 3/6/2023
B
Pennsylvania 2/24/2023
B
Georgia 2/24/2023
IA
Pennsylvania 6/22/2023
B
Illinois 3/2/2023
B
South Carolina 2/24/2023
B
Louisiana 2/24/2023
B
Tennessee 2/24/2023
B
Maryland 2/24/2023
IA
Texas 2/24/2023
B
Massachusetts 2/24/2023
IA
Vermont 6/22/2023
B
Michigan 2/24/2023
B
Virginia 2/24/2023
SRO Registrations
B
B
B
B
B
B
B
B
B
B
View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
IA
Registered with this firm since 2/24/2023
B
Registered with this firm since 2/24/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/15/2008 - 03/01/2023 | SARASOTA, FL | |
B | 09/29/2008 - 03/01/2023 | SARASOTA, FL | |
IA | 04/02/2007 - 10/06/2008 | PUNTA GORDA, FL | |
B | 04/02/2007 - 10/06/2008 | PUNTA GORDA, FL | |
IA | 08/05/2004 - 04/02/2007 | PUNTA GORDA, FL | |
B | 07/30/2004 - 04/02/2007 | PUNTA GORDA, FL | |
IA | 12/19/2003 - 08/09/2004 | PUNTA GORDA, FL | |
B | 04/11/2002 - 08/09/2004 | ST. LOUIS, MO | |
B | 03/23/2001 - 04/09/2002 | TAMPA, FL |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.