Derek D Nelson

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2021-10-22

TX RA
APPROVED

Since 2021-10-22

Branch Locations

401 W 4Th Street Suite 3100, Austin, TX 78701 • United States

Bee Cave, TX • 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

Organization	City	State	From	To
J.P. Morgan Securities Llc	Austin	TX	10/2012	Present
Ubs Financial Services Inc	Austin	TX	10/2021	Present

10/2012 → Present

J.P. Morgan Securities Llc

Austin, TX
10/2021 → Present

Ubs Financial Services Inc

Austin, TX

Previous Registrations

2012-10-01 → 2021-10-24

J.P. Morgan Securities Llc

Austin, TX
2007-11-09 → 2012-10-01

Chase Investment Services Corp.

Austin, TX

Austin, TX

Austin, TX

Austin, TX

Other Businesses

1) Name of Business: Derek D Nelson./ Address: Costa Rica./ nature: This is a vacation property which I will be renting via VRBO when not occupied./ Role: Proprietor / owner./ Duty: Landlord

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-11-06
S63	Uniform Securities Agent State Law Examination	1999-12-06

S66 Uniform Combined State Law Examination

2007-11-06
S63 Uniform Securities Agent State Law Examination

1999-12-06

Other Names

Derek Daniel Nelson

View on SEC IAPD