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DAVID SEARS
CRD#: 5116777
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 100 OVERLOOK CENTER
SUITE 303
PRINCETON, NJ 08540
Registration History
20082010201220142016201820202022202420262 FIRMS2007 - Present (17 years)
License(s)

State Registrations

B
Arizona 4/11/2018

B
New Hampshire 1/16/2014

B
California 11/13/2009

B
New Jersey 9/11/2007

B
Colorado 1/15/2021

IA
New Jersey 10/1/2007

B
Connecticut 1/6/2012

B
New York 8/11/2008

B
Delaware 1/24/2013

B
North Carolina 3/7/2012

B
District of Columbia 9/24/2020

B
Ohio 7/19/2022

B
Florida 9/7/2012

B
Pennsylvania 8/11/2008

B
Georgia 1/6/2023

B
Rhode Island 5/8/2012

B
Indiana 6/3/2022

B
South Carolina 9/8/2016

B
Kentucky 1/29/2025

B
Tennessee 9/12/2023

B
Maine 9/8/2014

B
Texas 5/1/2018

B
Maryland 12/15/2009

IA
Texas 7/30/2019

B
Massachusetts 6/27/2017

B
Vermont 1/5/2023

B
Michigan 6/17/2010

B
Virginia 3/8/2018

B
Missouri 5/19/2011

B
Washington 7/19/2022

B
Montana 1/26/2022

B
West Virginia 1/25/2021

B
Nebraska 6/21/2012

B
Wyoming 3/24/2016

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 OVERLOOK CENTER SUITE 303, PRINCETON, NJ 08540
Wall, NJ
Registered with this firm since 10/1/2007

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
100 OVERLOOK CENTER SUITE 303, PRINCETON, NJ 08540
Wall, NJ
Registered with this firm since 9/11/2007

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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.