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Susan K Morris

Ubs Financial Services Inc.

Knoxville, TN

Knoxville, TN

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2008-06-26
TN RA APPROVED 2004-01-13
  • TX RA
    APPROVED_RES
    Since 2008-06-26
  • TN RA
    APPROVED
    Since 2004-01-13

Branch Locations

800 South Gay Street Suite 2600, Knoxville, TN 37929 • United States

First Tennessee Plaza 800 S. Gay Street, Knoxville, TN 37929 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. Knoxville TN 11/1987 Present
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1988-01-28
  • S63 Uniform Securities Agent State Law Examination
    1988-01-28
Other Names
  • Susan Verhoff
  • Susan Kathleen Littlefield

View on SEC IAPD

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GARY J MORRIS
WILLIAM MICHAEL HOTZFIELD
HUNTER NICHOLSON
ROBERT SASS
JONATHAN LOVE
HUNTER ROCK

Other Offices

STRATEGIC ADVISERS LLC · KNOXVILLE, TN
RAYMOND JAMES & ASSOCIATES, INC. · KNOXVILLE, TN
EDWARD JONES · FARRAGUT, TN
FIFTH THIRD SECURITIES, INC. · KNOXVILLE, TN
STATE FARM INVESTMENT MANAGEMENT CORP. · Farragut, TN
TRUIST ADVISORY SERVICES, INC. · KNOXVILLE, TN
PFS INVESTMENTS INC. · KNOXVILLE, TN
EDWARD JONES · KNOXVILLE, TN

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