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Detailed Report
BRITTANY Zoe PETERS
BRITTANY Z THEMAR, BRITTANY ZOE THEMAR
CRD#: 5406104
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 17335 Golf Parkway
Suite 525
Brookfield, WI 53045
Registration History
2008201020122014201620182020202220242026IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2015 - Present (10 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2014 - Present (10 years)BAXA ADVISORS, LLC (CRD# 6627)2008 - 2014 (6 years)
License(s)

State Registrations

B
Arizona 1/4/2019
B
Minnesota 5/20/2019
B
California 1/4/2019
B
New Hampshire 2/5/2025
B
Colorado 6/27/2024
B
New York 1/4/2019
B
Florida 1/4/2019
B
Ohio 1/4/2019
B
Georgia 5/20/2019
B
South Carolina 8/17/2023
B
Illinois 1/4/2019
B
Texas 4/15/2022
B
Louisiana 11/25/2024
B
Washington 3/14/2019
B
Maine 2/21/2025
B
Wisconsin 1/29/2015
B
Massachusetts 10/11/2022
IA
Wisconsin 1/29/2015
B
Michigan 1/4/2019

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)
17335 Golf Parkway Suite 525, Brookfield, WI 53045
Elm Grove, WI
Registered with this firm since 1/29/2015
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
17335 Golf Parkway Suite 525, Brookfield, WI 53045
Elm Grove, WI
Registered with this firm since 6/20/2014
Previous Registration(s)
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B
 04/04/2008 - 06/19/2014 AXA ADVISORS, LLC (CRD#:6627) MILWAUKEE, WI
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.