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Detailed Report
Mitchell Markley
MITCHELL S MARKLEY, MITCHELL SCOTT MARKLEY
CRD#: 4634597
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 4600 S. ULSTER STREET -SUITE 700
METRO POINT ONE
DENVER, CO 80202
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2004 - 2006 (1 year)2 FIRMS2006 - 2009 (3 years)2 FIRMS2009 - 2020 (10 years)2 FIRMS2020 - Present (4 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2003 - 2004 (<1 year)
License(s)

State Registrations

B
Alabama 11/15/2024
B
Nebraska 11/15/2024
B
Alaska 11/15/2024
B
Nevada 12/1/2023
B
Arizona 10/14/2022
IA
Nevada 5/9/2024
B
Arkansas 4/1/2020
B
New Hampshire 11/15/2024
B
California 4/1/2020
B
New Jersey 11/15/2024
IA
California 4/1/2020
B
New Mexico 8/23/2023
B
Colorado 4/1/2020
B
New York 11/15/2024
IA
Colorado 4/1/2020
B
North Carolina 11/15/2024
B
Connecticut 11/15/2024
B
North Dakota 11/15/2024
B
Delaware 11/15/2024
B
Ohio 11/15/2024
B
District of Columbia 11/15/2024
B
Oklahoma 11/15/2024
B
Florida 4/1/2020
B
Oregon 11/15/2024
B
Georgia 11/15/2024
B
Pennsylvania 11/15/2024
B
Hawaii 11/15/2024
B
Puerto Rico 11/15/2024
B
Idaho 8/23/2023
B
Rhode Island 11/15/2024
B
Illinois 11/15/2024
B
South Carolina 11/15/2024
B
Indiana 11/15/2024
B
South Dakota 11/15/2024
B
Iowa 11/15/2024
B
Tennessee 2/13/2024
B
Kansas 2/13/2024
B
Texas 2/13/2024
B
Kentucky 11/15/2024
IA
Texas 2/21/2024
B
Louisiana 11/15/2024
B
Utah 4/1/2020
B
Maine 11/15/2024
B
Vermont 11/15/2024
B
Maryland 11/15/2024
B
Virgin Islands 12/24/2024
B
Massachusetts 4/1/2020
B
Virginia 11/15/2024
B
Michigan 11/15/2024
B
Washington 11/15/2024
B
Minnesota 11/15/2024
B
West Virginia 11/15/2024
B
Mississippi 11/15/2024
B
Wisconsin 11/15/2024
B
Missouri 11/15/2024
B
Wyoming 11/15/2024
B
Montana 4/1/2020

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

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)
4600 S. ULSTER STREET -SUITE 700 METRO POINT ONE, DENVER, CO 80202
370-17TH STREET, DENVER, CO 80202
Registered with this firm since 4/1/2020
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
4600 S. ULSTER STREET -SUITE 700 METRO POINT ONE, DENVER, CO 80202
370-17TH STREET, DENVER, CO 80202
Registered with this firm since 4/1/2020
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/01/2009 - 04/02/2020 MORGAN STANLEY (CRD#:149777) SAN DIEGO, CA
B
 06/01/2009 - 04/02/2020 MORGAN STANLEY (CRD#:149777) SAN DIEGO, CA
IA
 06/02/2006 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) ENGLEWOOD, CO
B
 06/02/2006 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) ENGLEWOOD, CO
IA
 08/13/2004 - 06/06/2006 MORGAN STANLEY (CRD#:7556) DENVER, CO
B
 08/13/2004 - 06/06/2006 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
B
 04/03/2003 - 01/02/2004 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
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.