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Kerri Lynn Matthews

Ubs Financial Services Inc.

Greenville, DE

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
DE RA APPROVED 2018-12-17
  • DE RA
    APPROVED
    Since 2018-12-17

Branch Locations

20 Montchanin Road Suite 170, Greenville, DE 19807 • 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
Capital One Investing Llc Wilmington DE 02/2014 05/2018
Ubs Financial Services Inc. Greenville DE 05/2018 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-12-16
S63 Uniform Securities Agent State Law Examination 2016-09-14
  • S66 Uniform Combined State Law Examination
    2018-12-16
  • S63 Uniform Securities Agent State Law Examination
    2016-09-14

View on SEC IAPD

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Other Offices

SPEARHEAD ADMINISTRATIVE SERVICES, LLC · GREENVILLE, DE
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · WILMINGTON, DE
EDWARD JONES · Greenville, DE
LPL FINANCIAL LLC · WILMINGTON, DE
WELLS FARGO CLEARING SERVICES, LLC · GREENVILLE, DE
MARVIN & PALMER ASSOCIATES · WILMINGTON, DE
COMMONWEALTH FINANCIAL NETWORK · Wilmington, DE
&PARTNERS · Wilmington, DE

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