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Detailed Report
JENNA LEIGH SPARLING
JEANNA LEIGH HOOTEN, JENNA LEIGH HOOTON
CRD#: 5013847
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 3560 Lenox Road NE
28th floor
ATLANTA, GA 30326
Registration History
201020122014201620182020202220242026IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2010 - Present (15 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2009 - Present (15 years)
License(s)

State Registrations

B
Alabama 1/24/2011
B
Massachusetts 3/30/2012
B
Arizona 2/4/2016
B
New Jersey 6/4/2012
B
California 1/24/2011
B
New Mexico 8/3/2023
B
Colorado 9/18/2013
B
North Carolina 1/25/2011
B
Florida 10/25/2010
B
South Carolina 7/7/2015
B
Georgia 1/6/2010
B
Tennessee 11/2/2010
IA
Georgia 1/15/2010

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)
3560 Lenox Road NE 28th floor, ATLANTA, GA 30326
Atlanta, GA
Registered with this firm since 1/15/2010
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
3560 Lenox Road NE 28th floor, ATLANTA, GA 30326
Atlanta, GA
Registered with this firm since 5/27/2009
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.