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ALEXIS M. GEORGE
ALEXIS MCBATH GEORGE
CRD#: 6216700
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 1501 K. STREET NW
WASHINGTON, DC 20005
Registration History
20132014201520162017201820192020202120222023202420252 FIRMS2015 - Present (9 years)BMORGAN STANLEY (CRD# 149777)2013 - 2015 (2 years)IAMORGAN STANLEY (CRD# 149777)2014 - 2015 (1 year)
License(s)

State Registrations

B
Alabama 4/15/2021

B
Michigan 1/4/2019

B
Arizona 4/4/2023

B
Minnesota 3/29/2016

B
California 1/5/2016

B
Mississippi 7/29/2024

B
Colorado 1/4/2019

B
New Jersey 12/16/2015

B
Connecticut 4/4/2023

B
New York 3/23/2016

B
Delaware 3/29/2016

B
North Carolina 11/28/2018

B
District of Columbia 12/16/2015

B
Ohio 3/29/2016

IA
District of Columbia 12/21/2015

B
Oregon 6/25/2019

B
Florida 3/29/2016

B
Pennsylvania 3/29/2016

B
Georgia 2/10/2016

B
South Carolina 3/29/2016

B
Idaho 10/27/2022

B
Tennessee 7/29/2024

B
Illinois 4/4/2023

B
Texas 1/5/2016

B
Indiana 1/26/2018

IA
Texas 5/15/2023

B
Kentucky 2/29/2024

B
Vermont 4/4/2023

B
Louisiana 4/4/2023

B
Virginia 1/5/2016

B
Maine 10/19/2023

B
Washington 12/15/2021

B
Maryland 1/5/2016

B
West Virginia 5/23/2019

B
Massachusetts 1/12/2016

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)
1501 K. STREET NW, WASHINGTON, DC 20005
Washington, DC
Registered with this firm since 12/21/2015

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1501 K. STREET NW, WASHINGTON, DC 20005
Washington, DC
Registered with this firm since 12/16/2015

Previous Registration(s)
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IA
03/12/2014 - 12/16/2015 MORGAN STANLEY (CRD#:149777) WASHINGTON, DC
B
12/04/2013 - 12/16/2015 MORGAN STANLEY (CRD#:149777) WASHINGTON, DC
For additional information about investment advisers or broker-dealers, please visit
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.