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 |
|---|---|---|---|---|---|---|---|---|
| Todd Edward Holloman | 2916611 | 3 | 08/22/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Mazmanian | 5686359 | 1 | 11/01/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Hoffman | 5027317 | 7 | 08/08/2018 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Marissa Hemby | 6699084 | 2 | 03/29/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Leslie Marie Barbadillo-Ciccarelli | 6596255 | 1 | 08/03/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Andy Felix Kirou | 5679685 | 1 | 12/21/2015 | Regulatory | 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 |