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JONATHAN SIMPSON TRAUB
CRD#: 4887695
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 1 NORTH WACKER DRIVE
32ND & 33RD
CHICAGO, IL 60606
Registration History
200620082010201220142016201820202022202420262 FIRMS2005 - 2009 (4 years)2 FIRMS2009 - Present (15 years)
License(s)

State Registrations

B
Arizona 11/30/2015

B
Michigan 4/17/2009

B
California 4/17/2009

B
Minnesota 4/2/2014

B
Colorado 4/17/2009

B
Missouri 4/9/2018

B
Connecticut 10/30/2015

B
New Jersey 6/27/2013

B
Delaware 1/4/2024

B
New York 4/17/2009

B
Florida 4/17/2009

B
North Carolina 1/11/2018

IA
Florida 12/9/2020

B
Ohio 4/17/2009

B
Georgia 10/20/2021

B
Oklahoma 12/1/2023

B
Hawaii 11/17/2020

B
Pennsylvania 4/9/2018

B
Illinois 4/17/2009

B
South Carolina 4/9/2018

IA
Illinois 4/17/2009

B
South Dakota 7/28/2021

B
Indiana 4/17/2009

B
Tennessee 4/17/2009

B
Iowa 11/15/2012

B
Texas 4/17/2009

B
Kentucky 4/9/2018

IA
Texas 4/29/2010

B
Louisiana 8/5/2016

B
Utah 4/23/2021

B
Maine 4/9/2018

B
Virginia 1/20/2016

B
Maryland 1/24/2020

B
Washington 4/6/2021

B
Massachusetts 4/9/2018

B
Wisconsin 4/17/2009

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)
1 NORTH WACKER DRIVE 32ND & 33RD, CHICAGO, IL 60606
Naples, FL
Registered with this firm since 4/17/2009

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1 NORTH WACKER DRIVE 32ND & 33RD, CHICAGO, IL 60606
Naples, FL
Registered with this firm since 4/17/2009

Previous Registration(s)
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IA
03/02/2005 - 05/05/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) CHICAGO, IL
B
01/24/2005 - 05/05/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) CHICAGO, IL
For additional information about investment advisers or broker-dealers, please visit
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.