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Detailed Report
BEVERLEY MASON HAWFIELD III
BEVERLEY MASON HAWFIELD
CRD#: 6189166
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 1985 EASTWOOD ROAD
WILMINGTON, NC 28403
Registration History
2015201620172018201920202021202220232024202520262 FIRMS2015 - Present (10 years)
License(s)

State Registrations

B
California 10/31/2018
B
New Mexico 8/18/2021
B
Colorado 10/31/2018
B
New York 10/31/2018
B
Delaware 10/31/2018
IA
North Carolina 2/26/2015
B
District of Columbia 1/4/2019
B
North Carolina 2/27/2015
B
Florida 10/31/2018
B
Ohio 10/31/2018
B
Illinois 1/4/2019
B
Pennsylvania 10/31/2018
B
Indiana 1/4/2019
B
South Carolina 10/31/2018
B
Maine 10/31/2018
IA
South Carolina 3/28/2024
B
Maryland 10/31/2018
B
Tennessee 10/31/2018
B
Massachusetts 10/31/2018
B
Texas 11/1/2018
B
Michigan 10/31/2018
IA
Texas 11/12/2018
B
New Hampshire 9/19/2023
B
Virginia 11/1/2018
B
New Jersey 10/31/2018
B
Washington 11/1/2018

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

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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)
1985 EASTWOOD ROAD, WILMINGTON, NC 28403
Registered with this firm since 2/26/2015
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1985 EASTWOOD ROAD, WILMINGTON, NC 28403
Registered with this firm since 1/22/2015
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.