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Kasi K Darby

Ubs Financial Services Inc.

Greenfield, TN

Knoxville, TN

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2022-02-18
TX RA APPROVED 2022-02-18
  • TN RA
    APPROVED
    Since 2022-02-18
  • TX RA
    APPROVED
    Since 2022-02-18

Branch Locations

Greenfield, TN • United States

800 South Gay Street Suite 2600, Knoxville, TN 37929 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Jackson TN 04/2000 02/2022
Bank Of America, N.A. Jackson TN 12/2009 02/2022
Ubs Financial Services, Inc. Knoxville TN 02/2022 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-09-27
  • S66 Uniform Combined State Law Examination
    2000-09-27

View on SEC IAPD

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