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Byron Brooks

Ubs Financial Services Inc.

Plano, TX

Plano, TX

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2015-08-31
  • TX RA
    APPROVED
    Since 2015-08-31

Branch Locations

7250 Dallas Parkway Suite120, Plano, TX 75024 • United States

Plano, TX • 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
OrganizationCityStateFromTo
Ubs Financial Services Inc. Plano TX 08/2015 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-10-10
S66 Uniform Combined State Law Examination 1998-05-05
  • S65 Uniform Investment Adviser Law Examination
    2005-10-10
  • S66 Uniform Combined State Law Examination
    1998-05-05
Other Names
  • Byron R Brooks
  • Byron Ralph Brooks

View on SEC IAPD

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