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Dawn Rose Whitacre

Ubs Financial Services Inc.

Miamisburg, OH

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2011-04-28
  • OH RA
    APPROVED
    Since 2011-04-28

Branch Locations

3601 Rigby Road Suite 500, Miamisburg, OH 45342 • 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 Miamisburg OH 04/2013 12/2018
Ubs Financial Services Inc. Miamisburg OH 01/2019 Present
Previous Registrations
  • 2009-06-01 → 2011-04-21
    Morgan Stanley
    Dayton, OH
    Centerville, OH
    Cincinnati, OH
  • 2007-05-16 → 2009-06-01
    Citigroup Global Markets Inc.
    Dayton, OH
  • 2007-04-02 → 2007-05-16
    Morgan Stanley & Co. Llc
    Centerville, OH
  • 2004-06-07 → 2007-04-02
    Morgan Stanley Dw Inc.
    Centerville, OH
    Centerville, OH
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-05-25
  • S66 Uniform Combined State Law Examination
    2004-05-25
Other Names
  • Dawn Whitacre
  • Dawn Rose Stauch

View on SEC IAPD

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