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Tia Denae Peace

Ubs Financial Services Inc.

Johnson City, TN

CRD 5883875

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Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2019-07-05
  • TN RA
    APPROVED
    Since 2019-07-05

Branch Locations

214 East Mountcastle Drive, Johnson City, TN 37601 • 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 Johnson City TN 05/2011 Present
  • 05/2011 → Present
    Ubs Financial Services
    Johnson City, TN
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-07-02
  • S66 Uniform Combined State Law Examination
    2019-07-02
Other Names
  • Tin Tipton
  • Tia Peace
  • Tia Denae Tipton
  • Tia Denae Tipton

View on SEC IAPD

Nearby Firms

WELLS FARGO CLEARING SERVICES, LLC
LPL FINANCIAL LLC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Nearby Investors

THOMAS E DOTSON
ROBERT KEITH HOBBS
SONYA KAYE HENSLEY

Nearby Offices

WELLS FARGO CLEARING SERVICES, LLC · JOHNSON CITY, TN
LPL FINANCIAL LLC · JOHNSON CITY, TN
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Johnson City, TN

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