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Adam Joseph Ness
ADAM JOSEPH NESS, Adam Ness
CRD#: 6331406
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 4600 S. ULSTER STREET -SUITE 700
METRO POINT ONE
DENVER, CO 80202
Registration History
2015201620172018201920202021202220232024202520262 FIRMS2015 - 2016 (1 year)2 FIRMS2017 - Present (7 years)
License(s)

State Registrations

B
Arizona 8/29/2019

B
Nebraska 1/3/2023

B
California 8/29/2019

B
Nevada 7/25/2023

B
Colorado 4/18/2017

B
New Jersey 8/29/2019

IA
Colorado 4/18/2017

B
New Mexico 1/3/2023

B
Delaware 6/30/2023

B
New York 8/29/2019

B
Florida 8/29/2019

B
North Carolina 8/29/2019

B
Georgia 4/21/2023

B
Oregon 3/21/2022

B
Illinois 6/1/2021

B
Pennsylvania 9/12/2019

B
Indiana 9/12/2019

B
Tennessee 5/12/2021

B
Kansas 7/27/2020

B
Texas 9/16/2020

B
Kentucky 7/9/2020

IA
Texas 1/25/2021

B
Maryland 7/25/2023

B
Utah 5/27/2022

B
Massachusetts 1/3/2020

B
Virginia 9/9/2021

B
Michigan 6/30/2023

B
Washington 8/28/2020

B
Minnesota 5/23/2023

B
Wyoming 6/30/2023

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)
4600 S. ULSTER STREET -SUITE 700 METRO POINT ONE, DENVER, CO 80202
Registered with this firm since 4/18/2017

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
4600 S. ULSTER STREET -SUITE 700 METRO POINT ONE, DENVER, CO 80202
Registered with this firm since 4/18/2017

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
09/09/2015 - 09/01/2016 EDWARD JONES (CRD#:250) COLORADO SPRINGS, CO
B
08/17/2015 - 09/01/2016 EDWARD JONES (CRD#:250) COLORADO SPRINGS, CO
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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.