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Detailed Report
Courtney Kershaw
CRD#: 5511475
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 3011 TOWNSGATE ROAD
SUITE 300
WESTLAKE VILLAGE, CA 91361
Registration History
20082010201220142016201820202022202420262 FIRMS2008 - 2009 (<1 year)2 FIRMS2009 - 2011 (1 year)2 FIRMS2011 - 2011 (<1 year)2 FIRMS2011 - 2018 (6 years)2 FIRMS2020 - Present (5 years)
License(s)

State Registrations

B
Arizona 1/15/2020
B
Michigan 1/13/2020
IA
California 1/2/2020
B
Nevada 1/27/2020
B
California 1/6/2020
B
New Jersey 1/9/2020
B
Colorado 1/13/2020
B
New York 1/14/2020
B
Connecticut 9/18/2024
B
North Carolina 1/10/2020
B
Florida 1/10/2020
B
Ohio 7/28/2021
IA
Florida 10/21/2021
B
Oregon 1/14/2020
B
Georgia 9/1/2022
B
Pennsylvania 1/10/2020
B
Idaho 4/24/2024
IA
Texas 1/10/2020
B
Iowa 3/15/2024
B
Texas 1/12/2020
B
Maryland 1/13/2020
B
Washington 1/9/2025
B
Massachusetts 1/10/2020

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

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)
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
3011 TOWNSGATE ROAD SUITE 300, WESTLAKE VILLAGE, CA 91361
Davenport, FL
Registered with this firm since 1/3/2020
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
3011 TOWNSGATE ROAD SUITE 300, WESTLAKE VILLAGE, CA 91361
Davenport, FL
Registered with this firm since 1/2/2020
Previous Registration(s)
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IA
 12/05/2011 - 06/08/2018 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) BEVERLY HILLS, CA
B
 12/02/2011 - 06/08/2018 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) BEVERLY HILLS, CA
IA
 02/23/2011 - 12/15/2011 WEDBUSH SECURITIES INC. (CRD#:877) LOS ANGELES, CA
B
 02/23/2011 - 12/15/2011 WEDBUSH SECURITIES INC. (CRD#:877) LOS ANGELES, CA
IA
 06/01/2009 - 03/11/2011 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) BEVERLY HILLS, CA
B
 06/01/2009 - 03/11/2011 MORGAN STANLEY SMITH BARNEY (CRD#:149777) BEVERLY HILLS, CA
IA
 09/09/2008 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SHERMAN OAKS, CA
B
 08/22/2008 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SHERMAN OAKS, 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.