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Heather Dempsey

Ubs Financial Services Inc.

Austin, TX

Leander, TX

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-04-11
  • TX RA
    APPROVED
    Since 2023-04-11

Branch Locations

401 W 4Th Street Suite 3100, Austin, TX 78701 • United States

Leander, TX • 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 Houston TX 04/2011 09/2018
Ubs Financial Services Inc. Austin TX 09/2018 02/2023
Ubs Financial Services Inc Austin TX 03/2023 Present
Morgan Stanley Austin TX 03/2023 03/2023
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2000-09-13
S65 Uniform Investment Adviser Law Examination 2000-05-09
  • S63 Uniform Securities Agent State Law Examination
    2000-09-13
  • S65 Uniform Investment Adviser Law Examination
    2000-05-09
Other Names
  • Heather Louden
  • Heather Louden

View on SEC IAPD

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