Individual Firm
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DEBRA ANN BUSHMAN
DEBRA A BUSHMAN, DEBRA ANN TREGLIA
CRD#: 870056
IA
B
UBS FINANCIAL SERVICES INC.CRD#: 8174 1055 FRANKLIN AVENUE
SUITE 300
GARDEN CITY, NY 11530
SUITE 300
GARDEN CITY, NY 11530
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4/18/2014
Customer Dispute
Settled
12/12/2002
Employment Separation After Allegations
7/12/1991
Customer Dispute
Settled
8/28/1990
Customer Dispute
Settled
State Registrations
B
Arizona 10/18/2010
B
New Jersey 10/18/2010
B
California 10/18/2010
B
New Mexico 2/25/2016
B
Colorado 4/15/2015
B
New York 10/18/2010
B
Connecticut 10/18/2010
IA
New York 10/26/2021
B
Florida 10/18/2010
B
North Carolina 10/18/2010
B
Georgia 10/18/2010
B
Ohio 10/18/2010
B
Hawaii 6/14/2013
B
Oregon 6/24/2022
B
Idaho 1/23/2020
B
Pennsylvania 10/18/2010
B
Illinois 4/12/2013
IA
Pennsylvania 1/3/2023
B
Indiana 3/6/2024
B
South Carolina 8/14/2014
B
Louisiana 9/3/2015
B
Tennessee 5/1/2017
B
Maine 10/18/2010
IA
Texas 10/18/2010
B
Maryland 10/18/2010
B
Texas 5/29/2013
B
Massachusetts 10/18/2010
B
Utah 8/8/2019
B
Nevada 9/20/2012
B
Virginia 10/18/2010
B
New Hampshire 10/18/2010
SRO Registrations
B
B
B
B
B
B
B
B
B
B
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IA
Registered with this firm since 10/18/2010
B
Registered with this firm since 10/18/2010
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/08/2006 - 10/21/2010 | GARDEN CITY, NY | |
B | 09/08/2006 - 10/21/2010 | GARDEN CITY, NY | |
IA | 04/05/2006 - 09/15/2006 | GARDEN CITY, NY | |
B | 02/06/2003 - 09/15/2006 | GARDEN CITY, NY | |
B | 08/22/1979 - 01/10/2003 | NEW YORK, NY |
GARDEN CITY, NY
09/08/2006 - 10/21/2010
GARDEN CITY, NY
09/08/2006 - 10/21/2010
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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.