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HEATHER Lynn CLARK
HEATHER CLARK, Heather L Clark, Heather Lynn Clark, Heather Clark, HEATHER L OLTZ…
CRD#: 5199953
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 ONE NORTH WACKER DRIVE
STE 3300
CHICAGO, IL 60606
Registration History
200620082010201220142016201820202022202420262 FIRMS2020 - 2020 (<1 year)2 FIRMS2020 - Present (4 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2008 - 2020 (11 years)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2006 - 2008 (1 year)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2009 - 2020 (10 years)
License(s)

State Registrations

B
Illinois 10/7/2020

IA
Illinois 10/7/2020

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

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
ONE NORTH WACKER DRIVE STE 3300, CHICAGO, IL 60606
Winfield, IL
Registered with this firm since 10/7/2020

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
ONE NORTH WACKER DRIVE STE 3300, CHICAGO, IL 60606
Winfield, IL
Registered with this firm since 10/7/2020

Previous Registration(s)
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IA
04/24/2020 - 09/28/2020 FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590) NAPERVILLE, IL
B
04/10/2020 - 09/25/2020 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) NAPERVILLE, IL
IA
10/21/2009 - 03/31/2020 UBS FINANCIAL SERVICES INC. (CRD#:8174) NAPERVILLE, IL
B
07/30/2008 - 03/31/2020 UBS FINANCIAL SERVICES INC. (CRD#:8174) NAPERVILLE, IL
B
09/06/2006 - 03/10/2008 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) FOX RIVER GROVE, IL
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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.