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William Fanning

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
TX RA APPROVED_RES 2022-01-31
FL RA APPROVED 2019-09-16
  • TX RA
    APPROVED_RES
    Since 2022-01-31
  • FL RA
    APPROVED
    Since 2019-09-16

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
Massachusetts Mutual Life Insurance Co Tampa FL 08/2014 07/2017
Mml Investors Services, Llc Tampa FL 02/2015 07/2017
University Of South Florida Tampa FL 05/2012 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Saint Petersburg FL 07/2017 08/2019
Bank Of America, N.A. Saint Petersburg FL 08/2017 08/2019
Ubs Financial Services Inc. Tampa FL 08/2019 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-02-05
  • S66 Uniform Combined State Law Examination
    2016-02-05
Other Names
  • William Gabriel Fanning

View on SEC IAPD

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