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SIMONE S SHAMMAI
CRD#: 5101067
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 2525 BAY AREA BLVD
3RD FLOOR
HOUSTON, TX 77058
Registration History
200620082010201220142016201820202022202420262 FIRMS2009 - 2015 (5 years)2 FIRMS2015 - Present (10 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2006 - 2009 (3 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2007 - 2009 (2 years)
License(s)

State Registrations

B
Arizona 2/20/2015

B
New Hampshire 2/20/2015

B
Arkansas 2/20/2015

B
New Jersey 11/15/2024

B
California 2/20/2015

B
New Mexico 3/25/2019

B
Colorado 3/27/2017

B
New York 2/20/2015

B
Delaware 11/15/2024

B
North Carolina 2/20/2015

B
Florida 2/20/2015

B
Ohio 9/15/2023

B
Georgia 10/31/2024

B
Oklahoma 2/20/2015

B
Iowa 2/20/2015

B
Oregon 2/20/2015

B
Kansas 2/20/2015

B
Pennsylvania 2/20/2015

B
Kentucky 2/21/2018

B
South Carolina 2/20/2015

B
Louisiana 11/15/2024

B
Tennessee 5/6/2024

B
Maryland 4/10/2023

B
Texas 2/20/2015

B
Massachusetts 11/15/2024

IA
Texas 2/20/2015

B
Mississippi 10/13/2022

B
Utah 1/3/2023

B
Missouri 4/15/2016

B
Virginia 2/20/2015

B
Nebraska 2/20/2015

B
Wyoming 2/20/2015

B
Nevada 2/20/2015

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)
2525 BAY AREA BLVD 3RD FLOOR, HOUSTON, TX 77058
Registered with this firm since 2/20/2015

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
2525 BAY AREA BLVD 3RD FLOOR, HOUSTON, TX 77058
Registered with this firm since 2/20/2015

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/01/2009 - 03/09/2015 MORGAN STANLEY (CRD#:149777) HOUSTON, TX
B
06/01/2009 - 03/09/2015 MORGAN STANLEY (CRD#:149777) HOUSTON, TX
IA
02/21/2007 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) HOUSTON, TX
B
03/02/2006 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) HOUSTON, TX
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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.