Our Staff has compiled our research into a database of FINRA Broker Disclosures for UBS Securities LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Gerardo Olivier Mancia | 5781744 | 1 | 02/11/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brian Christian Bagdonas | 4597454 | 1 | 09/18/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Karl Emil Keirstead | 2526412 | 2 | 01/21/2003 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brian Robert Meredith | 1530528 | 1 | 06/01/1999 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |