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Brian Michael Fay

Ubs Financial Services Inc.

Northbrook, IL

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2024-01-19
TX RA APPROVED 2024-01-19
  • IL RA
    APPROVED
    Since 2024-01-19
  • TX RA
    APPROVED
    Since 2024-01-19

Branch Locations

5 Revere Drive 1 Northbrook Place, Northbrook, IL 60062 • 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 Northbrook IL 05/2015 01/2024
Bank Of America, N.A. Northbrook IL 07/2015 01/2024
Ubs Financial Services, Inc Chicago IL 01/2024 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-08-12
  • S66 Uniform Combined State Law Examination
    2015-08-12
Other Names
  • Brian M Fay

View on SEC IAPD

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Other Offices

ALLSTATE FINANCIAL ADVISORS, LLC · Northbrook, IL
RITHOLTZ WEALTH MANAGEMENT · Northbrook, IL
SHARP CIRCLE CONSULTING, LLC · NORTHBROOK, IL
DDS INVESTMENT MANAGEMENT, INC. · NORTHBROOK, IL
LPL ENTERPRISE, LLC · NORTHBROOK, IL
SHARP CIRCLE CONSULTING, LLC · NORTHBROOK, IL
OSAIC WEALTH, INC. · NORTHBROOK, IL
E. A. HORWITZ LLC · DEERFIELD, IL

More in Northbrook, IL

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