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Matthew Frank Philichi

Ubs Financial Services Inc.

Tacoma, WA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
KS RA APPROVED 2023-01-06
TX RA APPROVED 2008-12-05
WA RA APPROVED 2008-12-05
  • KS RA
    APPROVED
    Since 2023-01-06
  • TX RA
    APPROVED
    Since 2008-12-05
  • WA RA
    APPROVED
    Since 2008-12-05

Branch Locations

1145 Broadway Suite 1400, Tacoma, WA 98402-3503 • 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 Tacoma WA 12/2008 Present
Previous Registrations
  • 2007-04-02 → 2008-12-08
    Morgan Stanley & Co. Llc
    Tacoma, WA
  • 2002-03-28 → 2007-04-02
    Morgan Stanley Dw Inc.
    Tacoma, WA
    Tacoma, WA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-10-18
S63 Uniform Securities Agent State Law Examination 1989-07-06
  • S65 Uniform Investment Adviser Law Examination
    1993-10-18
  • S63 Uniform Securities Agent State Law Examination
    1989-07-06
Designations
Other Names
  • Matt Frank Philichi
  • Matt F Philichi

View on SEC IAPD

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Other Offices

MORGAN STANLEY · Tacoma, WA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Tacoma, WA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Tacoma, WA
THREADLINE WEALTH · TACOMA, WA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Tacoma, WA
AMERIPRISE FINANCIAL SERVICES, LLC · Tacoma, WA
VOYA FINANCIAL ADVISORS, INC. · TACOMA, WA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · TACOMA, WA

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