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Stephany Omote Swisher
CRD#: 7421908
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 555 California Street Suite 4650
San Francisco, CA 94104
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
Alabama 2/27/2023

B
Montana 2/27/2023

B
Alaska 2/27/2023

B
Nebraska 2/27/2023

B
Arizona 2/27/2023

B
Nevada 2/27/2023

B
Arkansas 2/27/2023

B
New Hampshire 2/27/2023

B
California 2/27/2023

B
New Jersey 2/27/2023

IA
California 2/27/2023

B
New Mexico 2/27/2023

B
Colorado 2/27/2023

B
New York 2/27/2023

B
Connecticut 2/27/2023

B
North Carolina 2/27/2023

B
Delaware 2/27/2023

B
North Dakota 2/27/2023

B
District of Columbia 2/27/2023

B
Ohio 2/27/2023

B
Florida 2/27/2023

B
Oklahoma 2/27/2023

B
Georgia 2/27/2023

B
Oregon 2/27/2023

B
Hawaii 2/27/2023

B
Pennsylvania 2/27/2023

B
Idaho 2/27/2023

B
Puerto Rico 2/27/2023

B
Illinois 2/27/2023

B
Rhode Island 2/27/2023

B
Indiana 2/27/2023

B
South Carolina 2/27/2023

B
Iowa 2/27/2023

B
South Dakota 2/27/2023

B
Kansas 2/27/2023

B
Tennessee 2/27/2023

B
Kentucky 2/27/2023

B
Texas 2/27/2023

B
Louisiana 2/27/2023

B
Utah 2/27/2023

B
Maine 2/27/2023

B
Vermont 2/27/2023

B
Maryland 2/27/2023

B
Virgin Islands 2/27/2023

B
Massachusetts 2/27/2023

B
Virginia 2/27/2023

B
Michigan 2/27/2023

B
Washington 2/27/2023

B
Minnesota 2/27/2023

B
West Virginia 2/27/2023

B
Mississippi 2/27/2023

B
Wisconsin 2/27/2023

B
Missouri 2/27/2023

B
Wyoming 2/27/2023

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)
555 California Street Suite 4650, San Francisco, CA 94104
Registered with this firm since 2/27/2023

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
555 California Street Suite 4650, San Francisco, CA 94104
Registered with this firm since 11/14/2022

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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.