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Makenna Austin
CRD#: 7632211
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 One Post Office Square
35th Floor
BOSTON, MA 02109
Registration History
JulOct2024AprJulOct2025AprJulOct20262 FIRMS2024 - Present (<1 year)
License(s)

State Registrations

B
California 5/23/2024

B
New Jersey 5/23/2024

B
Colorado 5/23/2024

B
New York 5/23/2024

B
Connecticut 5/23/2024

B
North Carolina 5/23/2024

B
Delaware 5/23/2024

B
Ohio 5/25/2024

B
Florida 5/23/2024

B
Pennsylvania 5/23/2024

B
Hawaii 5/23/2024

B
Rhode Island 5/23/2024

B
Indiana 5/23/2024

B
South Carolina 5/23/2024

B
Kentucky 5/23/2024

B
South Dakota 5/23/2024

B
Maine 5/23/2024

B
Tennessee 5/23/2024

B
Massachusetts 5/10/2024

B
Texas 5/10/2024

B
Michigan 5/23/2024

IA
Texas 5/10/2024

B
Missouri 5/23/2024

B
Utah 5/23/2024

B
Nevada 5/23/2024

B
Virginia 5/23/2024

B
New Hampshire 5/23/2024

B
Wyoming 5/23/2024

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

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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 Post Office Square 35th Floor, BOSTON, MA 02109
Registered with this firm since 5/10/2024

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
One Post Office Square 35th Floor, BOSTON, MA 02109
Registered with this firm since 3/15/2024

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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.