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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2025-01-03
NJ RA APPROVED 2022-09-29
NY RA APPROVED 2022-09-21
TX RA APPROVED_RES 2022-09-21
  • CT RA
    APPROVED
    Since 2025-01-03
  • NJ RA
    APPROVED
    Since 2022-09-29
  • NY RA
    APPROVED
    Since 2022-09-21
  • TX RA
    APPROVED_RES
    Since 2022-09-21

Branch Locations

299 Park Avenue 8Th, 9Th, & 11Th Floors, New York, NY 10171 • 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
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated New York NY 01/2011 09/2022
Bank Of America, N.A. New York NY 02/2011 09/2022
Ubs Financial Services New York NY 09/2022 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-05-12
  • S66 Uniform Combined State Law Examination
    2011-05-12
Other Names
  • David William Peeler
  • David William Peeler
  • David W Peeler
  • David Peeler

View on SEC IAPD

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