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Melissa Caprice
Melissa Hui-Lu Caprice, Melissa Hui-Lu Lee
CRD#: 7028185
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 3 PARK PLACE
3RD FLOOR
ANNAPOLIS, MD 21401
Registration History
20202021202220232024202520262 FIRMS2022 - Present (2 years)BINDEPENDENT FINANCIAL GROUP, LLC (CRD# 7717)2020 - 2021 (<1 year)BAMERIPRISE FINANCIAL SERVICES, LLC (CRD# 6363)2020 - 2020 (<1 year)IASCARBOROUGH CAPITAL MANAGEMENT (CRD# 169517)2021 - 2021 (<1 year)
License(s)

State Registrations

B
Arizona 4/4/2023

B
Nevada 4/26/2023

B
California 5/28/2023

B
New Jersey 5/28/2023

B
Colorado 3/29/2023

B
New York 5/28/2023

B
Delaware 5/28/2023

B
North Carolina 5/28/2023

B
District of Columbia 3/29/2023

B
Ohio 3/29/2023

B
Florida 3/29/2023

B
Pennsylvania 5/28/2023

B
Georgia 5/28/2023

B
South Carolina 5/28/2023

B
Illinois 5/28/2023

B
Tennessee 5/28/2023

B
Louisiana 3/29/2023

B
Texas 5/28/2023

B
Maine 3/29/2023

B
Virginia 5/28/2023

B
Maryland 12/5/2022

B
Washington 5/28/2023

IA
Maryland 12/5/2022

B
West Virginia 5/28/2023

B
Minnesota 5/28/2023

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

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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)
3 PARK PLACE 3RD FLOOR, ANNAPOLIS, MD 21401
Annapolis, MD
Registered with this firm since 12/5/2022

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
3 PARK PLACE 3RD FLOOR, ANNAPOLIS, MD 21401
Annapolis, MD
Registered with this firm since 12/5/2022

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
03/02/2021 - 06/15/2021 SCARBOROUGH CAPITAL MANAGEMENT (CRD#:169517) Annapolis, MD
B
09/21/2020 - 05/07/2021 INDEPENDENT FINANCIAL GROUP, LLC (CRD#:7717) Annapolis, MD
B
07/06/2020 - 08/24/2020 AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363) Columbia, MD
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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.