• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
BRIAN DAVID FELDMAN
CRD#: 5045131
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 100 CRESCENT COURT
SUITE 600
DALLAS, TX 75201
Registration History
200620082010201220142016201820202022202420262 FIRMS2006 - 2010 (4 years)2 FIRMS2010 - Present (14 years)
License(s)

State Registrations

B
Alabama 3/8/2013

B
Missouri 1/5/2017

B
Arizona 9/24/2010

B
Montana 4/4/2019

B
Arkansas 8/31/2011

B
Nebraska 6/30/2022

B
California 8/31/2011

B
Nevada 6/12/2018

B
Colorado 8/31/2011

B
New Jersey 7/11/2013

B
Connecticut 1/23/2023

B
New Mexico 9/24/2010

B
Delaware 8/31/2011

B
New York 8/31/2011

B
District of Columbia 7/22/2021

B
North Carolina 9/23/2013

B
Florida 7/12/2011

B
Ohio 4/6/2016

B
Georgia 9/7/2012

B
Oklahoma 9/24/2010

B
Hawaii 7/15/2013

B
Oregon 3/23/2016

B
Idaho 3/10/2022

B
Pennsylvania 10/9/2013

B
Illinois 8/31/2011

B
South Carolina 1/27/2017

B
Indiana 11/7/2016

B
Tennessee 6/22/2011

B
Iowa 8/1/2019

B
Texas 9/24/2010

B
Kansas 4/15/2020

IA
Texas 9/24/2010

B
Kentucky 1/27/2017

B
Utah 8/31/2011

B
Louisiana 8/31/2011

B
Virginia 8/3/2016

B
Maine 5/9/2012

B
Washington 9/24/2010

B
Massachusetts 2/24/2021

B
Wisconsin 8/31/2011

B
Minnesota 10/22/2018

B
Wyoming 11/21/2016

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)
100 CRESCENT COURT SUITE 600, DALLAS, TX 75201
Registered with this firm since 9/24/2010

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
100 CRESCENT COURT SUITE 600, DALLAS, TX 75201
Registered with this firm since 9/24/2010

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/01/2006 - 10/22/2010 THE AYCO COMPANY,L.P. (CRD#:106693) DALLAS, TX
B
01/25/2006 - 10/22/2010 MERCER ALLIED COMPANY, L.P. (CRD#:37404) DALLAS, TX
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.