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Samantha Roberts
SAMANTHA J ROBERTS
CRD#: 5536270
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 312 WALNUT STREET
SUITE 3300
CINCINNATI, OH 45202
Registration History
Oct2023AprJulOct2024AprJulOct2025AprJulOct20262 FIRMS2023 - Present (1 year)
License(s)

State Registrations

B
Alabama 7/11/2023

B
Nebraska 7/11/2023

B
Alaska 7/11/2023

B
Nevada 7/11/2023

B
Arizona 7/11/2023

B
New Hampshire 7/11/2023

B
Arkansas 7/11/2023

B
New Jersey 7/11/2023

B
California 7/11/2023

B
New Mexico 7/11/2023

B
Colorado 7/11/2023

B
New York 7/11/2023

B
Connecticut 7/11/2023

B
North Carolina 7/11/2023

B
Delaware 7/11/2023

B
North Dakota 7/11/2023

B
District of Columbia 7/11/2023

B
Ohio 7/10/2023

B
Florida 7/11/2023

IA
Ohio 7/10/2023

B
Georgia 7/11/2023

B
Oklahoma 7/11/2023

B
Hawaii 7/11/2023

B
Oregon 7/11/2023

B
Idaho 7/11/2023

B
Pennsylvania 7/11/2023

B
Illinois 7/11/2023

B
Puerto Rico 7/11/2023

B
Indiana 7/11/2023

B
Rhode Island 7/11/2023

B
Iowa 7/11/2023

B
South Carolina 7/11/2023

B
Kansas 7/11/2023

B
South Dakota 7/11/2023

B
Kentucky 7/11/2023

B
Tennessee 7/11/2023

B
Louisiana 7/11/2023

B
Texas 7/11/2023

B
Maine 7/11/2023

B
Utah 7/11/2023

B
Maryland 7/11/2023

B
Vermont 7/11/2023

B
Massachusetts 7/11/2023

B
Virgin Islands 7/11/2023

B
Michigan 7/11/2023

B
Virginia 7/11/2023

B
Minnesota 7/11/2023

B
Washington 7/11/2023

B
Mississippi 7/31/2023

B
West Virginia 7/11/2023

B
Missouri 7/11/2023

B
Wisconsin 7/11/2023

B
Montana 7/11/2023

B
Wyoming 7/11/2023

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)
312 WALNUT STREET SUITE 3300, CINCINNATI, OH 45202
Registered with this firm since 7/10/2023

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
312 WALNUT STREET SUITE 3300, CINCINNATI, OH 45202
Registered with this firm since 4/3/2023

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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.