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Keith Martin Fallis

Ubs Financial Services Inc.

Santa Fe, NM

Santa Fe, NM

Santa Fe, NM

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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 2004-02-12
NM RA APPROVED 2002-05-07
  • TX RA
    APPROVED_RES
    Since 2004-02-12
  • NM RA
    APPROVED
    Since 2002-05-07

Branch Locations

125 Lincoln Ave Ste 401, Santa Fe, NM 87501 • United States

141 East Palace Avenue Coronado Building, Santa Fe, NM 87501 • United States

Santa Fe, NM • 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
Merrill Lynch Santa Fe NM 11/1999 Present
  • 11/1999 → Present
    Merrill Lynch
    Santa Fe, NM
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-11-02
  • S66 Uniform Combined State Law Examination
    2000-11-02

View on SEC IAPD

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Other Investors

LAWRENCE ELLIOT SCHWARTZ
ANTONIO CARLOS LOPEZ
ROBERT CALDER STACK
BRUCE HOWARD GALPERT
JESSICA LEIGH MARLOWE
QUENTIN JOHN HEFFRON
JOHN BARRY GERST
JILL MARIE ENLOE

Other Offices

WELLS FARGO CLEARING SERVICES, LLC · SANTA FE, NM
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · SANTA FE, NM
G. ALLEN FINANCIAL INC. · SANTA FE, NM
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · SANTA FE, NM
EP WEALTH ADVISORS · Santa Fe, NM
EDWARD JONES · SANTA FE, NM
RAYMOND JAMES & ASSOCIATES, INC. · SANTA FE, NM
EDDIE HAGGAR CAPITAL MGT, INC. · SANTA FE, NM

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