Frank Brawley

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2012-02-21
TX	RA	APPROVED	2012-02-16

FL RA
APPROVED

Since 2012-02-21
TX RA
APPROVED

Since 2012-02-16

Branch Locations

Tampa, FL • United States

101 East Kennedy Boulevard, Suite 1800, Tampa, FL 33602 • United States

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

Organization	City	State	From	To
Ubs Financial Services Inc	Tampa	FL	02/2012	Present

02/2012 → Present

Ubs Financial Services Inc

Tampa, FL

Previous Registrations

2005-02-02 → 2012-02-17

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Tampa, FL

New York, NY

New York, NY

Other Businesses

Lake Elbert Investments; Winter Haven, FL 33881; Partnership; Real Estate; This is an LLC set up to invest in real-estate funds. All the fund were preapproved, but there are no other outside investments left, they have all paid off and the remaining funds in the account will be distributed and the account will be closed; Managing Member; Sign the tax filing; Start date: 5/23/2024

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2005-02-01

S66 Uniform Combined State Law Examination

2005-02-01

Other Names

Francis Brawley

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