Suzanne Marie Frazier

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
OH	RA	APPROVED	2015-12-28

OH RA
APPROVED

Since 2015-12-28

Branch Locations

312 Walnut Street Suite 3300, Cincinnati, OH 45202 • United States

Cincinnati, OH • 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 Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc	Cincinnati	OH	12/2015	Present

12/2015 → Present

Ubs Financial Services Inc

Cincinnati, OH

Previous Registrations

2013-09-23 → 2015-12-04

Morgan Stanley

Cincinnati, OH
2011-06-08 → 2013-09-25

Raymond James & Associates, Inc.

Cincinnati, OH
2008-01-01 → 2011-06-06

Wells Fargo Clearing Services, Llc

Cincinnati, OH
2005-01-04 → 2008-01-01

A. G. Edwards & Sons, Inc.

Cincinnati, OH

Cincinnati, OH

St. Louis, MO
1999-12-07 → 2003-06-26

Citigroup Global Markets Inc.

Dayton, OH

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2000-10-19
S63	Uniform Securities Agent State Law Examination	2000-03-02

S65 Uniform Investment Adviser Law Examination

2000-10-19
S63 Uniform Securities Agent State Law Examination

2000-03-02

Other Names

Suzanne M Jones
Suzanne Marie Frazier
Suzanne Marie Jones

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews