Hardy L. Lathan Winburn

Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
CO	RA	APPROVED	2023-10-16
TX	RA	APPROVED_RES	2004-04-01
AR	RA	APPROVED	2002-04-03

CO RA
APPROVED

Since 2023-10-16
TX RA
APPROVED_RES

Since 2004-04-01
AR RA
APPROVED

Since 2002-04-03

Branch Locations

Little Rock, AR • United States

10800 Financial Center Pkwy 4Th Floor, Little Rock, AR 72211 • United States

10800 Financial Center Parkway 4Th Floor, Little Rock, AR 72211 • 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

Organization	City	State	From	To
Ubs Financial Services Inc.	Little Rock	AR	01/2002	Present

01/2002 → Present

Ubs Financial Services Inc.

Little Rock, AR

Other Businesses

NAME/NA. ADDRESS/NA. NOT INVESTMENT RELATED. BUSINESS - MUSICIAN - PERFORM MUSIC. TITLE - MUSICIAN. START DATE - 10/01/1975. 1 HR/MONTH. NO HRS/SECURITIES TRADING HRS. DUTIES - PERFORM MUSIC.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2002-03-26

S66 Uniform Combined State Law Examination

2002-03-26

Other Names

Hardy Lathan Winburn

View on SEC IAPD