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MAUREEN MENDOZA
MAUREEN BRIDGET PERRO
CRD#: 5741017
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 100 CRESCENT COURT
SUITE 400
DALLAS, TX 75201
Registration History
201220142016201820202022202420262 FIRMS2011 - 2011 (<1 year)2 FIRMS2011 - Present (13 years)
License(s)

State Registrations

B
Alabama 8/24/2021

B
Nebraska 9/6/2019

B
Arizona 7/28/2016

B
Nevada 9/6/2019

B
Arkansas 3/1/2023

B
New Hampshire 9/6/2019

B
California 5/6/2015

B
New Jersey 9/6/2019

B
Colorado 9/6/2019

B
New Mexico 9/6/2019

B
Connecticut 8/29/2017

B
New York 8/29/2017

B
Delaware 9/6/2019

B
North Carolina 9/6/2019

B
District of Columbia 3/1/2023

B
Ohio 9/6/2019

B
Florida 5/6/2015

B
Oklahoma 9/6/2019

B
Georgia 9/6/2019

B
Oregon 7/22/2022

B
Hawaii 1/21/2020

B
Pennsylvania 9/6/2019

B
Idaho 10/12/2022

B
Puerto Rico 9/6/2019

B
Illinois 9/6/2019

B
Rhode Island 9/6/2019

B
Indiana 12/15/2021

B
South Carolina 9/6/2019

B
Iowa 9/6/2019

B
South Dakota 11/4/2022

B
Kansas 3/1/2023

B
Tennessee 9/6/2019

B
Kentucky 3/1/2023

B
Texas 12/6/2011

B
Louisiana 9/6/2019

IA
Texas 12/6/2011

B
Maine 9/6/2019

B
Utah 3/1/2023

B
Maryland 9/6/2019

B
Vermont 9/6/2019

B
Massachusetts 9/6/2019

B
Virginia 9/6/2019

B
Michigan 1/22/2016

B
Washington 7/21/2022

B
Minnesota 9/30/2019

B
Wisconsin 9/6/2019

B
Missouri 9/6/2019

B
Wyoming 6/25/2024

B
Montana 9/6/2019

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

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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)
100 CRESCENT COURT SUITE 400, DALLAS, TX 75201
Plano, TX
Registered with this firm since 12/6/2011

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
100 CRESCENT COURT SUITE 400, DALLAS, TX 75201
Plano, TX
Registered with this firm since 12/6/2011

Previous Registration(s)
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IA
06/27/2011 - 12/12/2011 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) DALLAS, TX
B
06/06/2011 - 12/12/2011 MORGAN STANLEY SMITH BARNEY (CRD#:149777) DALLAS, TX
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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.