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DANIEL JOHNSON DEAN
DANIEL J DEAN
CRD#: 5113275
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 4001 CARMICHAEL ROAD
SUITE 400
MONTGOMERY, AL 36106
Registration History
200620082010201220142016201820202022202420262 FIRMS2006 - 2012 (6 years)2 FIRMS2012 - Present (12 years)
License(s)

State Registrations

B
Alabama 11/26/2012

B
Mississippi 10/23/2020

IA
Alabama 11/26/2012

B
Missouri 12/18/2018

B
Arizona 2/8/2021

B
Nevada 4/30/2020

B
Arkansas 1/24/2025

B
New Jersey 11/26/2012

B
California 6/22/2020

B
New York 3/9/2018

B
Colorado 10/23/2020

B
North Carolina 5/28/2014

B
Delaware 7/9/2020

B
Ohio 10/23/2020

B
District of Columbia 1/21/2019

B
Oregon 8/9/2021

B
Florida 11/26/2012

B
Pennsylvania 1/12/2017

B
Georgia 11/26/2012

B
South Carolina 1/12/2017

B
Illinois 4/14/2020

B
South Dakota 5/26/2023

B
Indiana 2/20/2015

B
Tennessee 11/26/2012

B
Kansas 8/18/2023

B
Texas 11/26/2012

B
Kentucky 5/17/2018

IA
Texas 11/26/2012

B
Louisiana 10/21/2020

B
Vermont 1/14/2023

B
Maryland 3/9/2018

B
Virginia 10/26/2016

B
Massachusetts 10/30/2018

B
Washington 2/4/2025

B
Michigan 7/9/2020

B
West Virginia 8/14/2024

B
Minnesota 5/7/2020

B
Wisconsin 5/26/2023

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)
4001 CARMICHAEL ROAD SUITE 400, MONTGOMERY, AL 36106
Mountain Brook, AL
Registered with this firm since 11/26/2012

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
4001 CARMICHAEL ROAD SUITE 400, MONTGOMERY, AL 36106
Mountain Brook, AL
Registered with this firm since 11/26/2012

Previous Registration(s)
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IA
06/19/2006 - 11/28/2012 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) MONTGOMERY, AL
B
05/23/2006 - 11/28/2012 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) MONTGOMERY, AL
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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.