Individual Firm
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SHANYA YALLALY
Shayna Jeneane Yallaly, Shayna Yallaly
CRD#: 7265804
IA
B
UBS FINANCIAL SERVICES INC.CRD#: 8174 370-17TH STREET
DENVER, CO 80202
DENVER, CO 80202
0
Disclosures
4
Years of Experience
View By:
State Registrations
B
Arizona 6/23/2022
B
Florida 6/23/2022
B
California 6/23/2022
B
Idaho 6/23/2022
B
Colorado 6/23/2022
B
Texas 6/23/2022
IA
Colorado 6/23/2022
IA
Texas 6/23/2022
SRO Registrations
B
B
B
B
B
B
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 6/23/2022
B
Registered with this firm since 6/23/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/18/2022 - 06/27/2022 | Dallas, TX | |
B | 02/18/2022 - 06/27/2022 | Dallas, TX | |
IA | 10/12/2021 - 02/22/2022 | GREENWOOD VILLAGE, CO | |
B | 07/28/2021 - 02/22/2022 | GREENWOOD VILLAGE, CO | |
B | 01/19/2021 - 06/16/2021 | GREENWOOD VILLAGE, CO | |
B | 10/01/2020 - 01/06/2021 | GREENWOOD VILLAGE, CO |
GREENWOOD VILLAGE, CO
10/12/2021 - 02/22/2022
GREENWOOD VILLAGE, CO
07/28/2021 - 02/22/2022
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.