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 |
|---|---|---|---|---|---|---|---|---|
| Leslie Marie Barbadillo-Ciccarelli | 6596255 | 1 | 08/03/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rennelle Nicole McDonald | 4896760 | 1 | 12/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tracy Jo Schuette | 5433192 | 1 | 09/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Adriana Guevara Jerez | 6556411 | 1 | 07/15/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Todd Edward Holloman | 2916611 | 3 | 02/10/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |