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Detailed Report
JOHN THOMAS VAUDREUIL
CRD#: 6084229
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 8500 NORMANDALE LAKE BLVD.
BLOOMINGTON, MN 55437
Registration History
20122014201620182020202220242026IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2013 - Present (11 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2012 - Present (12 years)
License(s)

State Registrations

B
Alabama 12/11/2015
B
New Jersey 8/27/2021
B
Arizona 1/27/2015
B
New Mexico 12/10/2019
B
Arkansas 1/27/2015
B
New York 1/27/2015
B
California 1/27/2015
B
North Dakota 1/27/2015
B
Colorado 1/27/2015
B
Ohio 1/27/2015
B
Connecticut 1/27/2015
B
Oklahoma 10/3/2023
B
Florida 1/27/2015
B
Oregon 1/27/2015
B
Georgia 1/27/2015
B
Pennsylvania 1/27/2015
B
Illinois 1/28/2015
B
South Dakota 8/30/2023
B
Iowa 1/27/2015
B
Tennessee 11/11/2022
B
Maryland 10/11/2018
B
Texas 1/27/2015
B
Massachusetts 1/27/2015
IA
Texas 2/2/2015
B
Michigan 7/11/2018
B
Utah 1/27/2015
B
Minnesota 10/31/2012
B
Washington 1/27/2015
IA
Minnesota 12/9/2013
B
Wisconsin 1/27/2015
B
Missouri 4/13/2015
IA
Wisconsin 11/1/2021
B
Nevada 8/30/2023
B
Wyoming 1/27/2015
B
New Hampshire 11/6/2024

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)
8500 NORMANDALE LAKE BLVD., BLOOMINGTON, MN 55437
Drummond, WI
Registered with this firm since 12/9/2013
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
8500 NORMANDALE LAKE BLVD., BLOOMINGTON, MN 55437
Drummond, WI
Registered with this firm since 8/10/2012
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.