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Laura Dillon

Ubs Financial Services Inc.

College Station, TX

College Station, 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 2009-01-09
  • TX RA
    APPROVED
    Since 2009-01-09

Branch Locations

175 Century Square Drive Suite 300, College Station, TX 77840 • United States

College Station, 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
OrganizationCityStateFromTo
Ubs Financial Services Inc Bryan TX 01/2009 Present
Previous Registrations
  • 2007-04-02 → 2009-01-14
    Morgan Stanley & Co. Llc
    Bryan, TX
  • 2005-05-25 → 2007-04-02
    Morgan Stanley Dw Inc.
    Bryan, TX
    Bryan, TX
  • 2000-11-14 → 2004-05-17
    Morgan Stanley Dw Inc.
    Bryan, TX
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2000-09-25
S65 Uniform Investment Adviser Law Examination 2000-09-08
  • S63 Uniform Securities Agent State Law Examination
    2000-09-25
  • S65 Uniform Investment Adviser Law Examination
    2000-09-08
Other Names
  • Laura Shannon Liles
  • Laura Shannon Dillon

View on SEC IAPD

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LPL FINANCIAL LLC
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Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · COLLEGE STATION, TX
TRADITIONS WEALTH ADVISORS, LLC. · COLLEGE STATION, TX
EDWARD JONES · COLLEGE STATION, TX
FIRST COMMAND ADVISORY SERVICES · College Station, TX
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · College Station, TX
LPL ENTERPRISE, LLC · COLLEGE STATION, TX
LPL FINANCIAL LLC · COLLEGE STATION, TX
WELLS FARGO CLEARING SERVICES, LLC · COLLEGE STATION, TX

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