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Detailed Report
DAVID H LY
CRD#: 5093244
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 816 HIGHWAY A1A NORTH
SUITE 300
PONTE VEDRA, FL 32082
Registration History
200620082010201220142016201820202022202420262 FIRMS2017 - Present (7 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2006 - 2017 (10 years)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2007 - 2017 (9 years)
License(s)

State Registrations

B
Alabama 5/17/2017
B
Montana 2/25/2021
B
Arizona 5/17/2017
B
Nevada 3/13/2020
B
California 5/17/2017
B
New Jersey 12/1/2023
B
Colorado 5/17/2017
B
New Mexico 4/27/2021
B
Delaware 12/13/2019
B
New York 5/17/2017
B
Florida 5/17/2017
B
North Carolina 12/1/2023
IA
Florida 5/18/2017
B
Ohio 11/12/2020
B
Georgia 12/1/2023
B
Oregon 1/16/2019
B
Idaho 5/17/2017
B
Pennsylvania 5/17/2017
B
Illinois 2/25/2021
B
South Carolina 12/1/2023
B
Indiana 12/1/2023
B
Tennessee 12/1/2023
B
Kentucky 10/1/2021
B
Texas 5/17/2017
B
Louisiana 12/1/2023
IA
Texas 5/17/2017
B
Maine 5/17/2017
B
Vermont 12/1/2023
B
Maryland 5/17/2017
B
Virginia 5/17/2017
B
Massachusetts 2/28/2022
B
Washington 12/1/2023
B
Michigan 5/17/2017
B
Wyoming 2/25/2021
B
Missouri 12/20/2021

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)
816 HIGHWAY A1A NORTH SUITE 300, PONTE VEDRA, FL 32082
Registered with this firm since 5/17/2017
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
816 HIGHWAY A1A NORTH SUITE 300, PONTE VEDRA, FL 32082
Registered with this firm since 5/17/2017
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/06/2007 - 05/18/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PONTE VEDRA BEACH, FL
B
 08/07/2006 - 05/18/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PONTE VEDRA BEACH, FL
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.