Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
Natalya Tumanyan
NATALYA TUMANYAN
CRD#: 5283690
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 251 South Lake Avenue
10th Floor
PASADENA, CA 91101
Registration History
2010201220142016201820202022202420262 FIRMS2020 - 2023 (3 years)2 FIRMS2023 - Present (1 year)BSCOTTRADE, INC. (CRD# 8206)2009 - 2018 (8 years)IASCOTTRADE INVESTMENT MANAGEMENT (CRD# 169988)2017 - 2018 (<1 year)
License(s)

State Registrations

B
Alabama 10/17/2023
B
Montana 10/17/2023
B
Alaska 10/17/2023
B
Nevada 10/17/2023
B
Arizona 10/17/2023
B
New Hampshire 10/17/2023
B
Arkansas 10/17/2023
B
New Jersey 10/17/2023
B
California 10/17/2023
B
New Mexico 10/17/2023
IA
California 10/17/2023
B
New York 10/17/2023
B
Colorado 10/17/2023
B
North Carolina 10/17/2023
B
Connecticut 10/17/2023
B
North Dakota 10/17/2023
B
Delaware 10/17/2023
B
Ohio 10/17/2023
B
District of Columbia 10/17/2023
B
Oklahoma 10/17/2023
B
Florida 10/17/2023
B
Oregon 10/17/2023
B
Georgia 10/17/2023
B
Pennsylvania 10/17/2023
B
Hawaii 10/17/2023
B
Puerto Rico 10/17/2023
B
Idaho 10/17/2023
B
Rhode Island 10/17/2023
B
Illinois 10/17/2023
B
South Carolina 10/17/2023
B
Indiana 10/17/2023
B
South Dakota 10/17/2023
B
Iowa 10/17/2023
B
Tennessee 10/17/2023
B
Kansas 10/17/2023
B
Texas 10/17/2023
B
Kentucky 10/17/2023
IA
Texas 10/17/2023
B
Louisiana 10/17/2023
B
Utah 10/17/2023
B
Maine 10/17/2023
B
Vermont 10/17/2023
B
Maryland 10/17/2023
B
Virgin Islands 10/17/2023
B
Massachusetts 10/17/2023
B
Virginia 10/17/2023
B
Michigan 10/17/2023
B
Washington 10/17/2023
B
Minnesota 10/17/2023
B
West Virginia 10/17/2023
B
Mississippi 10/17/2023
B
Wisconsin 10/17/2023
B
Missouri 10/17/2023
B
Wyoming 10/17/2023

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)
251 South Lake Avenue 10th Floor, PASADENA, CA 91101
La Crescenta, CA
Registered with this firm since 10/17/2023
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
251 South Lake Avenue 10th Floor, PASADENA, CA 91101
La Crescenta, CA
Registered with this firm since 10/17/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/22/2020 - 09/26/2023 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PASADENA, CA
B
 01/22/2020 - 09/26/2023 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PASADENA, CA
IA
 07/18/2017 - 03/08/2018 SCOTTRADE INVESTMENT MANAGEMENT (CRD#:169988) SAINT LOUIS, MO
B
 05/21/2009 - 03/08/2018 SCOTTRADE, INC. (CRD#:8206) PASADENA, CA
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.