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Sullivan Higson
Sullivan Katherine Higson
CRD#: 7375933
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 6100 Fairview Road
9th Floor
CHARLOTTE, NC 28277
Registration History
2022AprJulOct2023AprJulOct2024AprJulOct2025AprJulOct2026IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2023 - Present (2 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2022 - Present (2 years)
License(s)

State Registrations

B
Arizona 4/17/2024

B
New Jersey 3/16/2023

B
California 3/16/2023

B
New York 3/16/2023

B
Colorado 3/16/2023

B
North Carolina 2/21/2023

B
District of Columbia 3/16/2023

IA
North Carolina 2/21/2023

B
Florida 3/16/2023

B
Ohio 3/16/2023

B
Georgia 3/16/2023

B
Pennsylvania 3/16/2023

IA
Georgia 3/20/2023

B
South Carolina 3/16/2023

B
Illinois 3/16/2023

B
Tennessee 3/16/2023

B
Kentucky 3/16/2023

B
Texas 3/16/2023

B
Maryland 3/16/2023

IA
Texas 3/16/2023

B
Massachusetts 3/16/2023

B
Virginia 3/16/2023

B
Michigan 3/16/2023

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

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)
6100 Fairview Road 9th Floor, CHARLOTTE, NC 28277
Registered with this firm since 2/21/2023

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
6100 Fairview Road 9th Floor, CHARLOTTE, NC 28277
Registered with this firm since 10/10/2022

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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.