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SHAWNA J. GWIN
SHAWNA JEAN COTE, SHAWNA COTE
CRD#: 5412603
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 135 S. State College Blvd
Suite 650
BREA, CA 92821
Registration History
20082010201220142016201820202022202420262 FIRMS2007 - Present (17 years)
License(s)

State Registrations

B
California 11/19/2007

IA
California 11/19/2007

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)
135 S. State College Blvd Suite 650, BREA, CA 92821
La Habra, CA
Registered with this firm since 11/19/2007

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
135 S. State College Blvd Suite 650, BREA, CA 92821
La Habra, CA
Registered with this firm since 9/27/2007

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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.