• 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.
Ben Thomas Nelson
CRD#: 7159497
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 ONE NORTH WACKER DRIVE
STE 3300
CHICAGO, IL 60606
Registration History
20202021202220232024202520262 FIRMS2021 - Present (3 years)BLPL FINANCIAL LLC (CRD# 6413)2020 - 2021 (<1 year)IALPL FINANCIAL LLC (CRD# 6413)2021 - 2021 (<1 year)
License(s)

State Registrations

B
Arizona 9/16/2021

B
Missouri 9/16/2021

B
California 9/16/2021

B
Nebraska 9/16/2021

B
Colorado 9/16/2021

B
Nevada 9/16/2021

B
Connecticut 9/16/2021

B
New Jersey 9/16/2021

B
Delaware 9/16/2021

B
New Mexico 9/16/2021

B
District of Columbia 9/16/2021

B
New York 9/16/2021

B
Florida 9/16/2021

B
North Carolina 9/16/2021

B
Georgia 9/16/2021

B
Ohio 9/16/2021

B
Hawaii 9/16/2021

B
Oregon 9/16/2021

B
Illinois 9/16/2021

B
Pennsylvania 9/16/2021

IA
Illinois 9/16/2021

B
Rhode Island 9/16/2021

B
Indiana 9/16/2021

B
South Carolina 9/16/2021

B
Iowa 9/16/2021

B
South Dakota 9/16/2021

B
Kansas 9/16/2021

B
Texas 9/16/2021

B
Kentucky 9/16/2021

B
Utah 9/16/2021

B
Louisiana 9/16/2021

B
Vermont 9/16/2021

B
Maine 6/13/2024

B
Virginia 9/16/2021

B
Maryland 9/16/2021

B
Washington 9/16/2021

B
Massachusetts 9/16/2021

B
West Virginia 9/16/2021

B
Michigan 9/16/2021

B
Wisconsin 9/16/2021

B
Minnesota 9/16/2021

B
Wyoming 9/16/2021

B
Mississippi 9/16/2021

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)
ONE NORTH WACKER DRIVE STE 3300, CHICAGO, IL 60606
Registered with this firm since 9/16/2021

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
ONE NORTH WACKER DRIVE STE 3300, CHICAGO, IL 60606
Registered with this firm since 9/16/2021

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
03/02/2021 - 09/21/2021 LPL FINANCIAL LLC (CRD#:6413) CRYSTAL LAKE, IL
B
12/07/2020 - 09/21/2021 LPL FINANCIAL LLC (CRD#:6413) CRYSTAL LAKE, IL
For additional information about investment advisers or broker-dealers, please visit
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.