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DALE LOUIS EMERICK
CRD#: 707890
IA
B
UBS FINANCIAL SERVICES INC.CRD#: 8174 311 Park Place Boulevard
Suite 650
CLEARWATER, FL 33759
Suite 650
CLEARWATER, FL 33759
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8/1/1993
Customer Dispute
Settled
8/14/1992
Customer Dispute
Settled
State Registrations
B
Alabama 3/6/2007
B
Michigan 4/29/1992
B
Arizona 4/3/2020
B
Missouri 5/7/2015
B
California 4/9/2015
B
New Jersey 9/6/2011
B
Colorado 2/18/1997
B
New York 9/24/1993
B
Connecticut 8/5/2010
B
North Carolina 2/7/2006
B
Florida 5/9/1983
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North Carolina 6/6/2023
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Florida 9/10/1986
B
Ohio 8/14/1982
B
Georgia 7/1/1993
B
Pennsylvania 7/9/2020
B
Idaho 5/13/2022
B
Rhode Island 8/4/2020
B
Illinois 12/16/2020
B
South Carolina 7/8/2020
B
Indiana 5/3/1991
B
Tennessee 1/11/2019
B
Kansas 7/16/2020
B
Texas 11/7/1991
B
Kentucky 10/6/2020
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Texas 9/23/2002
B
Louisiana 5/13/2010
B
Virginia 4/15/2021
B
Maryland 8/26/2020
B
Wisconsin 7/8/2020
B
Massachusetts 5/4/2010
SRO Registrations
B
B
B
B
B
B
B
B
B
B
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Registered with this firm since 9/10/1986
B
Registered with this firm since 5/1/1980
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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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.