Tracy Ann Garrett

Ubs Financial Services Inc.

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Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
GA	RA	APPROVED	2019-04-24

GA RA
APPROVED

Since 2019-04-24

Branch Locations

3560 Lenox Road Ne 28Th Floor, Atlanta, GA 30326 • United States

Marietta, GA • 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
Mizuho Securities Usa Inc	Atlanta	GA	11/2014	08/2017
Janney Montgomery Scott Llc	Atlanta	GA	01/2018	10/2018
Unemployed	N/A	GA	08/2017	01/2018
Ubs Financial Services	Atlanta	GA	11/2018	Present

11/2014 → 08/2017

Mizuho Securities Usa Inc

Atlanta, GA
01/2018 → 10/2018

Janney Montgomery Scott Llc

Atlanta, GA
08/2017 → 01/2018

Unemployed

N/A, GA
11/2018 → Present

Ubs Financial Services

Atlanta, GA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2019-04-23
S63	Uniform Securities Agent State Law Examination	2002-06-07

S65 Uniform Investment Adviser Law Examination

2019-04-23
S63 Uniform Securities Agent State Law Examination

2002-06-07

Other Names

Tracy A Yaroshewich
Tracy A Garrett

View on SEC IAPD

Other Firms

LIQUID STRATEGIES, LLC

BISON WEALTH, LLC

BRIGHTER INVESTING, PB LLC

RBC CAPITAL MARKETS, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

NEWEDGE ADVISORS

EQUITY SERVICES, INC.

Other Investors

PARIMAL H PATEL

CLAYTON SHAWN GIBSON

FRANK THOMAS WATERSON

WILLIAM LEWIS LEVINE

CHAD JOSEPH NORFOLK

SEAN PATRICK COOK

JONATHAN CHRISTOPHER BRISTOW

MEREDITH STRUTT MIGHTY

Other Offices

LIQUID STRATEGIES, LLC · ATLANTA, GA

HB WEALTH · ATLANTA, GA

BISON WEALTH, LLC · ATLANTA, GA

BRIGHTER INVESTING, PB LLC · ATLANTA, GA

RBC CAPITAL MARKETS, LLC · Atlanta, GA

HB WEALTH · Atlanta, GA

AMERIPRISE FINANCIAL SERVICES, LLC · Atlanta, GA

NEWEDGE ADVISORS · Atlanta, GA

More in Atlanta, GA

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