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Mark D Williams

Ubs Financial Services Inc.

Winter Haven, FL

Winter Haven, FL

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2014-06-24
FL RA APPROVED 2008-07-24
TX RA APPROVED 2008-07-23
  • GA RA
    APPROVED
    Since 2014-06-24
  • FL RA
    APPROVED
    Since 2008-07-24
  • TX RA
    APPROVED
    Since 2008-07-23

Branch Locations

295 1St Street South, Winter Haven, FL 33880 • United States

Winter Haven, FL • 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. Winter Haven FL 07/2008 Present
Previous Registrations
  • 2007-04-02 → 2008-07-25
    Morgan Stanley & Co. Llc
    Winter Haven, FL
  • 2004-04-07 → 2007-04-02
    Morgan Stanley Dw Inc.
    Winter Haven, FL
    Winter Haven, FL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-03-30
  • S66 Uniform Combined State Law Examination
    2004-03-30

View on SEC IAPD

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Other Offices

LPL FINANCIAL LLC · WINTER HAVEN, FL
TUCKER ASSET MANAGEMENT LLC · Winter Haven, FL
WELLS FARGO CLEARING SERVICES, LLC · WINTER HAVEN, FL
COMMONWEALTH FINANCIAL NETWORK · WINTER HAVEN, FL
PFS INVESTMENTS INC. · WINTER HAVEN, FL
FOUNDATIONS INVESTMENT ADVISORS LLC · Winter Haven, FL
LPL FINANCIAL LLC · WINTER HAVEN, FL
EDWARD JONES · WINTER HAVEN, FL

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