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Mark D Williams

Ubs Financial Services Inc.

Winter Haven, FL

Winter Haven, FL

CRD 4631220

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Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

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

Nearby Firms

LPL FINANCIAL LLC
TUCKER ASSET MANAGEMENT LLC
WELLS FARGO CLEARING SERVICES, LLC

Nearby Investors

RACHEL PINNER LOBDELL
AMY B. GARBRECHT
DEBORAH MILLER SWENSON

Nearby Offices

LPL FINANCIAL LLC · WINTER HAVEN, FL
TUCKER ASSET MANAGEMENT LLC · Winter Haven, FL
WELLS FARGO CLEARING SERVICES, LLC · WINTER HAVEN, FL

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