Individual Firm
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CHRISTOPHER SHEA MARMION
SHEA MARMION
CRD#: 4935104
IA
B
UBS FINANCIAL SERVICES INC.CRD#: 8174 5007 HORIZONS DRIVE
COLUMBUS, OH 43220
COLUMBUS, OH 43220
View By:
10/1/2020
Customer Dispute
Denied
State Registrations
B
Alaska 1/3/2024
B
Montana 1/4/2019
B
Arizona 1/8/2016
B
Nevada 4/3/2014
B
California 5/9/2014
B
New Jersey 11/1/2012
B
Colorado 11/1/2012
B
New Mexico 4/2/2020
B
Connecticut 11/1/2012
B
New York 11/1/2012
B
District of Columbia 1/9/2025
B
North Carolina 11/1/2012
B
Florida 11/1/2012
B
Ohio 11/1/2012
B
Georgia 11/1/2012
IA
Ohio 11/1/2012
B
Idaho 11/30/2022
B
Pennsylvania 5/9/2014
B
Illinois 11/1/2012
B
Rhode Island 7/24/2023
B
Indiana 4/2/2020
B
South Carolina 11/1/2012
B
Kentucky 4/2/2020
B
Tennessee 10/20/2021
B
Louisiana 11/1/2012
B
Texas 11/1/2012
B
Maryland 11/1/2012
IA
Texas 11/1/2012
B
Massachusetts 11/1/2012
B
Virginia 11/1/2012
B
Michigan 11/1/2012
B
Washington 11/1/2012
B
Minnesota 11/1/2012
B
West Virginia 11/1/2012
B
Mississippi 11/1/2012
SRO Registrations
B
B
B
B
B
B
B
B
B
B
View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
IA
Registered with this firm since 11/1/2012
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Registered with this firm since 11/1/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/17/2011 - 11/02/2012 | COLUMBUS, OH | |
B | 08/17/2011 - 11/02/2012 | COLUMBUS, OH | |
IA | 01/04/2010 - 07/20/2011 | SEALTE, WA | |
B | 01/04/2010 - 07/20/2011 | MONUMENT, CO | |
B | 04/20/2005 - 01/15/2010 | LISLE, IL | |
IA | 05/04/2005 - 11/04/2008 | LISLE, IL |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.