Douglas Shepard Adams

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
WA	RA	APPROVED	1998-01-16

WA RA
APPROVED

Since 1998-01-16

Branch Locations

925 Fourth Avenue 31St & 32Nd Floor, Seattle, WA 98104 • United States

925 4Th Avenue 20Th And 21St Floors, Seattle, WA 98104 • United States

Seattle, WA • 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.	Seattle	WA	05/1997	Present

05/1997 → Present

Ubs Financial Services Inc.

Seattle, WA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1997-08-22
S63	Uniform Securities Agent State Law Examination	1997-07-26

S65 Uniform Investment Adviser Law Examination

1997-08-22
S63 Uniform Securities Agent State Law Examination

1997-07-26

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Exams

Other Firms

Other Investors

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