Sherrie Spitz

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
CO	RA	APPROVED	2022-07-01

CO RA
APPROVED

Since 2022-07-01

Branch Locations

4600 S. Ulster Street -Suite 700 Metro Point One, Denver, CO 80237 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien Yes
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc.	Edmond	OK	08/2003	Present
Merrill Lynch Pierce Fenner & Smith	Denver	CO	05/2013	Present

08/2003 → Present

Ubs Financial Services Inc.

Edmond, OK
05/2013 → Present

Merrill Lynch Pierce Fenner & Smith

Denver, CO

Previous Registrations

2014-04-01 → 2022-07-02

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Denver, CO

Greenwood Village, CO
2003-12-10 → 2006-03-17

Ubs Financial Services Inc.

Edmond, OK

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2014-03-31

S66 Uniform Combined State Law Examination

2014-03-31

Other Names

Sherrie Lee Marshall
Sherrie Lee Lyle
Sherrie Lee Crawford
Sherrie Spitz
Sherrrie Lee Marshall
Sherrie Lee Lyle
Sherrie Lee Crawford
Sherrie Lee Spitz
Sherrie L Spitz

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

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