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David Michael Grindel

Ubs Financial Services Inc.

Tampa, FL

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
ME RA APPROVED 2025-03-17
TX RA APPROVED 2024-08-12
FL RA APPROVED 2024-07-09
  • ME RA
    APPROVED
    Since 2025-03-17
  • TX RA
    APPROVED
    Since 2024-08-12
  • FL RA
    APPROVED
    Since 2024-07-09

Branch Locations

101 East Kennedy Boulevard, Suite 1800, Tampa, FL 33602 • 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
Cambridge Investment Research, Inc Fairfield IA 05/2009 06/2018
Cambridge Investment Research Advisors, Inc. Fairfield IA 01/2015 06/2018
Morgan Stanley Tampa FL 06/2018 07/2024
Morgan Stanley Private Bank, N.A. New York NY 07/2018 07/2024
Ubs Financial Services Tampa FL 07/2024 Present
Morgan Stanley Private Bank, N.A New York NY 07/2018 Present
  • 05/2009 → 06/2018
    Cambridge Investment Research, Inc
    Fairfield, IA
  • 01/2015 → 06/2018
    Cambridge Investment Research Advisors, Inc.
    Fairfield, IA
  • 06/2018 → 07/2024
    Morgan Stanley
    Tampa, FL
  • 07/2018 → 07/2024
    Morgan Stanley Private Bank, N.A.
    New York, NY
  • 07/2024 → Present
    Ubs Financial Services
    Tampa, FL
  • 07/2018 → Present
    Morgan Stanley Private Bank, N.A
    New York, NY
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-04-22
S63 Uniform Securities Agent State Law Examination 2002-01-18
  • S65 Uniform Investment Adviser Law Examination
    2002-04-22
  • S63 Uniform Securities Agent State Law Examination
    2002-01-18
Designations
Other Names
  • David M Grindel

View on SEC IAPD

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