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Detailed Report
MALLORY BLAIR CAPENHURST
Mallory Blair Posey
CRD#: 6654270
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 150 SECOND AVE. NORTH
SUITE 1000
ST. PETERSBURG, FL 33701
Registration History
202120222023202420252026IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2022 - Present (3 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2021 - Present (3 years)
License(s)

State Registrations

B
Alabama 5/27/2022
B
Montana 8/16/2023
B
Arizona 5/27/2022
B
New Jersey 5/27/2022
B
Arkansas 5/27/2022
B
New Mexico 3/22/2024
B
California 5/27/2022
B
New York 5/27/2022
B
Colorado 5/27/2022
B
North Carolina 5/27/2022
B
Connecticut 5/27/2022
B
Ohio 5/27/2022
B
District of Columbia 5/26/2023
B
Oregon 5/27/2022
B
Florida 12/10/2021
B
Pennsylvania 5/27/2022
IA
Florida 2/18/2022
B
South Carolina 5/27/2022
B
Georgia 5/27/2022
B
Tennessee 1/12/2023
B
Illinois 5/27/2022
B
Texas 5/27/2022
B
Indiana 5/27/2022
IA
Texas 7/25/2022
B
Kentucky 5/31/2022
B
Vermont 3/22/2024
B
Maryland 5/27/2022
B
Virginia 5/27/2022
B
Massachusetts 5/27/2022
B
Washington 5/27/2022
B
Michigan 5/31/2022
B
West Virginia 5/31/2022
B
Minnesota 5/27/2022
B
Wisconsin 5/27/2022

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)
150 SECOND AVE. NORTH SUITE 1000, ST. PETERSBURG, FL 33701
Registered with this firm since 2/18/2022
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
150 SECOND AVE. NORTH SUITE 1000, ST. PETERSBURG, FL 33701
Registered with this firm since 11/29/2021
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.