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Detailed Report
ALEXANDER WALTER JR
CRD#: 857201
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 8415 Maddox Drive
Suite 101
Lincoln, NE 68520
Registration History
19801985199019952000200520102015202020252 FIRMS2009 - Present (16 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1981 - 2009 (27 years)BKIRKPATRICK, PETTIS, SMITH, PO... (CRD# 490)1978 - 1981 (3 years)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1986 - 2009 (22 years)
License(s)

State Registrations

B
Arizona 1/10/2024
B
Nebraska 2/20/2009
B
California 2/20/2009
IA
Nebraska 2/27/2009
B
Colorado 2/20/2009
B
Nevada 6/7/2019
B
Florida 2/20/2009
B
Oklahoma 2/20/2009
B
Georgia 1/24/2011
B
South Dakota 2/20/2009
B
Illinois 1/24/2011
IA
South Dakota 3/2/2009
B
Iowa 2/20/2009
B
Texas 2/20/2009
B
Kansas 1/24/2011
IA
Texas 2/20/2009
B
Minnesota 2/20/2009
B
Virginia 2/20/2009
B
Missouri 2/20/2009

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)
8415 Maddox Drive Suite 101, Lincoln, NE 68520
Registered with this firm since 2/20/2009
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
8415 Maddox Drive Suite 101, Lincoln, NE 68520
Registered with this firm since 2/20/2009
Previous Registration(s)
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IA
 03/04/1986 - 02/24/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) LINCOLN, NE
B
 09/23/1981 - 02/24/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) LINCOLN, NE
B
 09/22/1978 - 09/18/1981 KIRKPATRICK, PETTIS, SMITH, POLIAN INC. (CRD#:490)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.