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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NV RA APPROVED 2023-06-27
NM RA APPROVED 2023-06-22
PA RA APPROVED 2023-06-22
VT RA APPROVED 2023-06-22
CA RA APPROVED 2023-06-21
CT RA APPROVED 2023-06-21
NY RA APPROVED 2023-06-21
FL RA APPROVED 2023-03-06
TX RA APPROVED_RES 2023-02-27
  • NV RA
    APPROVED
    Since 2023-06-27
  • NM RA
    APPROVED
    Since 2023-06-22
  • PA RA
    APPROVED
    Since 2023-06-22
  • VT RA
    APPROVED
    Since 2023-06-22
  • CA RA
    APPROVED
    Since 2023-06-21
  • CT RA
    APPROVED
    Since 2023-06-21
  • NY RA
    APPROVED
    Since 2023-06-21
  • FL RA
    APPROVED
    Since 2023-03-06
  • TX RA
    APPROVED_RES
    Since 2023-02-27

Branch Locations

Sarasota, FL • United States

1819 Main Street Suite 900, Sarasota, FL 34236 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Sarasota FL 09/2008 02/2023
Bank Of America,Na Sarasota FL 11/2009 02/2023
Ubs Financial Services Sarasota FL 02/2023 Present
Previous Registrations
  • 2008-10-15 → 2023-03-01
    Punta Gorda, FL
    Sarasota, FL
    Punta Gorda, FL
  • 2007-04-02 → 2008-10-06
    Morgan Stanley & Co. Llc
    Punta Gorda, FL
    Punta Gorda, FL
    Ft. Myers, FL
    Punta Gorda, FL
  • 2004-08-05 → 2007-04-02
    Morgan Stanley Dw Inc.
    Punta Gorda, FL
  • 2003-12-19 → 2004-08-09
    A. G. Edwards & Sons, Inc.
    Punta Gorda, FL
Other Businesses

I*72338 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: NEW2$RQ INVESTMENT RELATED: N ADDRESS OF BUSINESS: SARASOTA, FLORIDA 34239 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 5/7/2013 NUMBER OF HOURS DEVOTED: 10 HOUR(S) QUARTERLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: THE ENTITY IS A WELCOME SERVICE TO NEW MOVERS INTO SARASOTA. I DESIGNED THE PROGRAM AND AM THE OWNER. I*85207 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: CHILD PROTECTION CENTER INVESTMENT RELATED: N ADDRESS OF BUSINESS: SARASOTA, FLORIDA 34236 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: DIRECTOR, START DATE OF RELATIONSHIP: 9/14/2015 NUMBER OF HOURS DEVOTED: 6 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: CHILD PROTECTION CENTER ASSISTS LOCAL LAW ENFORCEMENT WHEN A CHILD HAS BEEN PHSYICALLY OR SEXUALLY ABUSED. I WILL BE SITTING ON AN ADVISORY COUNCIL THAT MEETS 3 TIMES A YEAR MOSTLY DISCUSSING AWARNESS, AND FUNDRAISING. *Name of Business- Mariash Properties LLC / Address- Sarasota, FL 34236 / Investment Related- YES, 100% / Nature- It is a shell LLC in case my former residence does not sell so I can deed over to LLC and then rent. / Role- Partner / Duty- No duties this is dorman and just a hodling LLC for real estate / Start Date- 3/15/2024 / Time Required- NO Groovy Pools LLC,FLUnited States,Services (Business, Professional, Support)Pool Cleaning Service,I am getting the business structure up and running and fundng but my son will be running the business/cleaning the pools.,Start date -9/22/2025,Investment -Yes

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-12-17
S63 Uniform Securities Agent State Law Examination 2001-03-30
  • S66 Uniform Combined State Law Examination
    2003-12-17
  • S63 Uniform Securities Agent State Law Examination
    2001-03-30
Other Names
  • Brian James Mariash
  • Brian James Mariash

View on SEC IAPD

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