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Detailed Report
LISANNE MARIE GLEW
LISANNE MARIE DOIRON, LISANNE MARIE GLEW MS.
CRD#: 4577206
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 LEGACY TOWER
7250 DALLAS PARKWAY, 12TH FLOOR
PLANO, TX 75024
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2002 - Present (22 years)
License(s)

State Registrations

B
Alabama 5/10/2022
B
Minnesota 1/17/2020
B
Arizona 12/9/2015
B
Missouri 1/17/2020
B
Arkansas 1/17/2020
B
Nevada 1/17/2020
B
California 11/6/2002
B
New Jersey 6/24/2022
B
Colorado 1/17/2020
B
New York 1/23/2020
B
Connecticut 1/17/2020
B
North Carolina 1/17/2020
B
Delaware 7/8/2019
B
Ohio 6/13/2017
B
Florida 1/22/2015
B
Oklahoma 1/17/2020
IA
Florida 10/1/2021
B
Pennsylvania 6/24/2022
B
Georgia 1/17/2020
B
South Carolina 7/30/2015
B
Illinois 1/17/2020
B
Tennessee 1/17/2020
B
Louisiana 12/11/2019
B
Texas 11/4/2002
B
Massachusetts 1/23/2020
IA
Texas 11/4/2002
B
Michigan 1/17/2020
B
Washington 1/14/2020

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

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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)
LEGACY TOWER 7250 DALLAS PARKWAY, 12TH FLOOR, PLANO, TX 75024
Destin, FL
Registered with this firm since 11/4/2002
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
LEGACY TOWER 7250 DALLAS PARKWAY, 12TH FLOOR, PLANO, TX 75024
Destin, FL
Registered with this firm since 10/15/2002
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.