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DAVID MICHAEL WARDROP
DAVID M WARDROP
CRD#: 5326816
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 1285 Avenue of the Americas
38th Floor
New York, NY 10019
Registration History
20082010201220142016201820202022202420262 FIRMS2008 - 2011 (3 years)2 FIRMS2015 - Present (9 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2011 - 2015 (4 years)
License(s)

State Registrations

B
Alabama 1/10/2022

B
New Hampshire 6/15/2015

B
Alaska 12/17/2024

B
New Jersey 6/15/2015

B
Arizona 6/15/2015

IA
New Jersey 7/10/2015

B
California 6/15/2015

B
New Mexico 6/28/2022

B
Colorado 6/15/2015

B
New York 6/15/2015

B
Connecticut 6/15/2015

IA
New York 10/26/2021

B
Delaware 6/15/2015

B
North Carolina 1/16/2019

B
District of Columbia 6/15/2015

B
Ohio 6/15/2015

B
Florida 6/15/2015

B
Oklahoma 12/17/2024

B
Georgia 12/4/2017

B
Oregon 12/17/2024

B
Hawaii 6/23/2022

B
Pennsylvania 6/15/2015

B
Idaho 12/17/2024

B
Puerto Rico 3/18/2024

B
Illinois 6/15/2015

B
Rhode Island 6/15/2015

B
Indiana 8/10/2020

B
South Carolina 10/13/2020

B
Iowa 12/17/2024

IA
South Carolina 10/22/2021

B
Kansas 12/17/2024

B
South Dakota 6/22/2021

B
Kentucky 5/14/2024

B
Tennessee 12/16/2020

B
Louisiana 6/15/2015

B
Texas 6/15/2015

B
Maine 6/15/2015

IA
Texas 7/26/2017

B
Maryland 6/15/2015

B
Utah 2/18/2020

B
Massachusetts 6/15/2015

B
Vermont 6/23/2022

B
Michigan 8/2/2018

B
Virgin Islands 12/17/2024

B
Minnesota 6/15/2015

B
Virginia 6/15/2015

B
Missouri 12/17/2024

B
Washington 6/15/2015

B
Montana 10/13/2020

B
West Virginia 12/20/2024

B
Nebraska 1/3/2024

B
Wisconsin 1/27/2025

B
Nevada 5/28/2021

B
Wyoming 6/15/2015

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)
1285 Avenue of the Americas 38th Floor, New York, NY 10019
Bronxville, NY
Registered with this firm since 7/10/2015

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1285 Avenue of the Americas 38th Floor, New York, NY 10019
Bronxville, NY
Registered with this firm since 6/15/2015

Previous Registration(s)
th hidden textth hidden textNameLocation
B
04/26/2011 - 07/02/2015 J.P. MORGAN SECURITIES LLC (CRD#:79) new york, NY
IA
06/10/2008 - 04/19/2011 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) CHICAGO, IL
B
03/28/2008 - 04/19/2011 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) CHICAGO, 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.