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Detailed Report
JEFFREY S HOUDLETTE
Jeffrey Steven Houdlette, Jeffrey Houdlette
CRD#: 4886922
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 Kennebunk, ME
Registration History
200620082010201220142016201820202022202420262 FIRMS2006 - 2013 (6 years)2 FIRMS2013 - 2020 (7 years)2 FIRMS2020 - 2021 (1 year)2 FIRMS2021 - Present (3 years)
License(s)

State Registrations

B
Alabama 11/15/2024
B
Nebraska 11/15/2024
B
Alaska 11/15/2024
B
Nevada 11/15/2024
B
Arizona 11/15/2024
B
New Hampshire 12/15/2021
B
Arkansas 11/15/2024
IA
New Hampshire 12/15/2021
B
California 11/15/2024
B
New Jersey 11/15/2024
B
Colorado 11/15/2024
B
New Mexico 11/15/2024
B
Connecticut 11/15/2024
B
New York 11/15/2024
B
Delaware 11/15/2024
B
North Carolina 11/15/2024
B
District of Columbia 11/15/2024
B
North Dakota 11/15/2024
B
Florida 11/15/2024
B
Ohio 11/15/2024
B
Georgia 11/15/2024
B
Oklahoma 11/15/2024
B
Hawaii 11/15/2024
B
Oregon 11/15/2024
B
Idaho 11/15/2024
B
Pennsylvania 11/15/2024
B
Illinois 11/15/2024
B
Puerto Rico 11/15/2024
B
Indiana 11/15/2024
B
Rhode Island 12/15/2021
B
Iowa 11/15/2024
B
South Carolina 11/15/2024
B
Kansas 11/15/2024
B
South Dakota 11/15/2024
B
Kentucky 11/15/2024
B
Tennessee 11/15/2024
B
Louisiana 11/15/2024
IA
Texas 12/15/2021
B
Maine 12/15/2021
B
Texas 11/15/2024
IA
Maine 12/15/2021
B
Utah 11/15/2024
B
Maryland 11/15/2024
B
Vermont 12/15/2021
B
Massachusetts 12/16/2021
B
Virgin Islands 11/15/2024
B
Michigan 11/15/2024
B
Virginia 11/15/2024
B
Minnesota 11/15/2024
B
Washington 11/15/2024
B
Mississippi 11/15/2024
B
West Virginia 11/15/2024
B
Missouri 11/15/2024
B
Wisconsin 11/15/2024
B
Montana 11/15/2024
B
Wyoming 11/15/2024

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)
Kennebunk, ME
Registered with this firm since 12/15/2021
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
Kennebunk, ME
Registered with this firm since 12/15/2021
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 12/11/2020 - 12/20/2021 MORGAN STANLEY (CRD#:149777) Portland, ME
B
 12/11/2020 - 12/20/2021 MORGAN STANLEY (CRD#:149777) Portland, ME
IA
 03/06/2013 - 12/09/2020 UBS FINANCIAL SERVICES INC. (CRD#:8174) PORTLAND, ME
B
 03/06/2013 - 12/09/2020 UBS FINANCIAL SERVICES INC. (CRD#:8174) PORTLAND, ME
IA
 07/25/2006 - 02/20/2013 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PORTLAND, ME
B
 04/11/2006 - 02/20/2013 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PORTLAND, ME
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.