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Registration History
1970197519801985199019952000200520102015202020252 FIRMS2001 - Present (23 years)BJ.P. MORGAN SECURITIES INC. (CRD# 18718)2000 - 2001 (1 year)BHAMBRECHT & QUIST LLC (CRD# 940)1999 - 2000 (<1 year)BBT ALEX. BROWN INCORPORATED (CRD# 17790)1997 - 1999 (1 year)BALEX. BROWN & SONS INCORPORATED (CRD# 20)1993 - 1997 (4 years)BLEHMAN BROTHERS INC. (CRD# 7506)1990 - 1992 (2 years)BPRUDENTIAL-BACHE SECURITIES INC. (CRD# 7471)1983 - 1990 (6 years)BKIDDER, PEABODY & CO. INCORPORATED (CRD# 7613)1982 - 1983 (1 year)BQUINN & CO., INC. (CRD# 687)1982 - 1982 (<1 year)BRICHEY, FRANKEL & COMPANY (CRD# 8548)1981 - 1982 (<1 year)BDREXEL BURNHAM LAMBERT INCORPO... (CRD# 7323)1980 - 1981 (<1 year)
Disclosure(s)
View By:
3/25/1998
Customer Dispute
Denied
10/19/1992
Regulatory
Final
10/10/1986
Customer Dispute
Settled
1/9/1986
Customer Dispute
Settled
10/5/1970
Criminal
Final Disposition
License(s)

State Registrations

B
California 6/1/2001

B
New Hampshire 9/28/2009

IA
California 6/13/2001

B
New York 4/16/2020

B
Colorado 6/1/2001

B
Rhode Island 9/3/2021

IA
Colorado 6/8/2005

IA
Texas 2/16/2005

B
Florida 5/29/2015

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)
CRESTED BUTTE, CO
555 CALIFORNIA STREET 32ND FLOOR/ SUITE 3200, SAN FRANCISCO, CA 94104
Registered with this firm since 6/13/2001

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
CRESTED BUTTE, CO
555 CALIFORNIA STREET 32ND FLOOR/ SUITE 3200, SAN FRANCISCO, CA 94104
Registered with this firm since 6/1/2001

Previous Registration(s)
th hidden textth hidden textNameLocation
B
02/01/2000 - 06/13/2001 J.P. MORGAN SECURITIES INC. (CRD#:18718) NEW YORK, NY
B
07/12/1999 - 02/01/2000 HAMBRECHT & QUIST LLC (CRD#:940) SAN FRANCISCO, CA
B
09/01/1997 - 06/07/1999 BT ALEX. BROWN INCORPORATED (CRD#:17790) BALTIMORE, MD
B
01/01/1993 - 09/01/1997 ALEX. BROWN & SONS INCORPORATED (CRD#:20)
B
02/28/1990 - 12/07/1992 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
08/20/1983 - 03/05/1990 PRUDENTIAL-BACHE SECURITIES INC. (CRD#:7471) NEW YORK, NY
B
10/06/1982 - 10/18/1983 KIDDER, PEABODY & CO. INCORPORATED (CRD#:7613)
B
01/26/1982 - 10/26/1982 QUINN & CO., INC. (CRD#:687)
B
04/02/1981 - 01/17/1982 RICHEY, FRANKEL & COMPANY (CRD#:8548)
B
09/23/1980 - 04/27/1981 DREXEL BURNHAM LAMBERT INCORPORATED (CRD#:7323)
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Broker
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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.