Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
Kyle Edward Head
CRD#: 6870765
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 3000 A STREET, SUITE 100
ANCHORAGE, AK 99503
Registration History
201820192020202120222023202420252026IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2019 - Present (6 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2018 - Present (7 years)
License(s)

State Registrations

B
Alaska 7/18/2019
B
New Hampshire 10/3/2023
IA
Alaska 11/8/2021
B
New Jersey 10/15/2019
B
Arizona 10/15/2019
B
New Mexico 10/15/2019
B
California 7/18/2019
B
North Carolina 2/5/2025
B
Colorado 7/18/2019
B
Ohio 5/5/2020
B
Delaware 4/4/2024
B
Oklahoma 9/26/2024
B
Florida 10/15/2019
B
Oregon 2/28/2018
B
Georgia 2/5/2025
B
South Carolina 3/21/2023
B
Idaho 7/18/2019
B
Tennessee 2/5/2025
B
Louisiana 10/3/2023
B
Texas 10/15/2019
B
Maine 10/3/2023
IA
Texas 5/4/2020
B
Maryland 10/15/2019
B
Utah 7/18/2019
B
Massachusetts 5/4/2020
B
Vermont 10/3/2023
B
Michigan 2/5/2025
IA
Washington 2/22/2019
B
Minnesota 8/2/2024
B
Washington 7/18/2019
B
Missouri 6/9/2022
B
Wisconsin 2/5/2025
B
Montana 10/3/2023
B
Wyoming 2/5/2025
B
Nevada 5/5/2020

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)
3000 A STREET, SUITE 100, ANCHORAGE, AK 99503
Registered with this firm since 2/22/2019
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
3000 A STREET, SUITE 100, ANCHORAGE, AK 99503
Registered with this firm since 2/2/2018
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.