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EMILY GAUL MINNICH
EMILY M. GAUL, EMILY M GAUL MINNICH
CRD#: 4607435
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 2055 CROCKER ROAD
WESTLAKE, OH 44145
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2003 - 2003 (<1 year)2 FIRMS2003 - 2005 (1 year)2 FIRMS2005 - Present (19 years)
License(s)

State Registrations

B
Arizona 1/3/2020

B
Massachusetts 6/14/2024

B
California 5/27/2005

B
New York 10/29/2018

B
Florida 7/11/2024

B
Ohio 5/27/2005

B
Illinois 10/29/2018

IA
Ohio 5/31/2005

B
Kentucky 9/25/2008

B
Pennsylvania 11/12/2013

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

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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)
2055 CROCKER ROAD, WESTLAKE, OH 44145
Registered with this firm since 5/31/2005

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
2055 CROCKER ROAD, WESTLAKE, OH 44145
Registered with this firm since 5/27/2005

Previous Registration(s)
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IA
07/01/2003 - 05/31/2005 WACHOVIA SECURITIES, LLC (CRD#:19616) CLEVELAND, OH
B
07/01/2003 - 05/31/2005 WACHOVIA SECURITIES, LLC (CRD#:19616) ST. LOUIS, MO
IA
04/08/2003 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) CLEVELAND, OH
B
01/13/2003 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
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B
Broker
IA
Investment Adviser
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.