Individual Firm
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
KEITH J APTON
CRD#: 4492128
IA
B
UBS FINANCIAL SERVICES INC.CRD#: 8174 1501 K. STREET NW
WASHINGTON, DC 20005
WASHINGTON, DC 20005
View By:
3/5/2010
Customer Dispute
Settled
State Registrations
B
Alabama 3/28/2023
B
Montana 12/8/2011
B
Alaska 8/10/2015
B
Nebraska 8/23/2023
B
Arizona 1/15/2009
B
Nevada 7/10/2018
B
Arkansas 10/5/2010
B
New Hampshire 8/29/2023
B
California 1/15/2009
B
New Jersey 1/15/2009
B
Colorado 1/2/2018
B
New Mexico 1/12/2022
B
Connecticut 12/19/2013
B
New York 1/15/2009
B
Delaware 7/15/2019
B
North Carolina 1/15/2009
B
District of Columbia 1/15/2009
B
North Dakota 9/11/2023
IA
District of Columbia 2/5/2009
B
Ohio 9/25/2012
B
Florida 1/15/2009
B
Oklahoma 6/7/2022
B
Georgia 1/15/2009
B
Oregon 1/15/2009
B
Hawaii 2/13/2013
B
Pennsylvania 1/15/2009
B
Idaho 12/19/2011
B
Rhode Island 3/3/2022
B
Illinois 3/4/2016
B
South Carolina 6/30/2011
B
Indiana 2/21/2019
B
South Dakota 9/6/2023
B
Iowa 8/2/2022
B
Tennessee 1/10/2013
B
Kansas 7/12/2017
B
Texas 1/15/2009
B
Kentucky 1/15/2009
IA
Texas 1/15/2009
B
Louisiana 3/11/2022
B
Utah 9/7/2012
B
Maine 3/7/2019
B
Vermont 3/2/2023
B
Maryland 1/15/2009
B
Virginia 1/15/2009
B
Massachusetts 8/19/2013
B
Washington 5/7/2014
B
Michigan 12/7/2012
B
West Virginia 6/5/2019
B
Minnesota 3/13/2017
B
Wisconsin 1/12/2022
B
Mississippi 8/24/2023
B
Wyoming 4/1/2014
B
Missouri 9/24/2021
SRO Registrations
B
B
B
B
B
B
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 1/15/2009
B
Registered with this firm since 1/15/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/02/2007 - 01/21/2009 | WASHINGTON, DC | |
B | 04/02/2007 - 01/21/2009 | WASHINGTON, DC | |
IA | 05/14/2002 - 04/02/2007 | WASHINGTON, DC | |
B | 03/26/2002 - 04/02/2007 | WASHINGTON, DC |
For additional information about investment advisers or broker-dealers, please visit
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.