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Dale Richard Heysse

Ubs Financial Services Inc.

Sugar Land, TX

Sugar Land, TX

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2020-12-15
  • TX RA
    APPROVED
    Since 2020-12-15

Branch Locations

15958 City Walk #240, Sugar Land, TX 77479 • United States

Sugar Land, TX • 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 Sugar Land TX 05/2014 12/2020
Bank Of America, N.A. Sugar Land TX 06/2014 12/2020
Ubs Financial Services Inc. Sugar Land TX 12/2020 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-12-15
S63 Uniform Securities Agent State Law Examination 2004-11-29
  • S65 Uniform Investment Adviser Law Examination
    2004-12-15
  • S63 Uniform Securities Agent State Law Examination
    2004-11-29

View on SEC IAPD

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B.D. STERLING
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EDWARD JONES
J.P. MORGAN SECURITIES LLC

Other Investors

BRANDON BAS CURTIS
Cody Alan Guyer
Keith Wayne Patterson
Muna Malik
WESLEY OWEN BALES
JAMES BRYANT HAWRYLUK
DAVID BRYAN TEEL
Mark Anthony Leifrig

Other Offices

LPL FINANCIAL LLC · SUGAR LAND, TX
STATE FARM INVESTMENT MANAGEMENT CORP. · Sugar Land, TX
LPL FINANCIAL LLC · SUGAR LAND, TX
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SUGAR LAND, TX
WESLEY OWEN BALES INVESTMENT ADVISORY SERVICE · SUGAR LAND, TX
B.D. STERLING · SUGAR LAND, TX
LPL FINANCIAL LLC · SUGAR LAND, TX
SWEETWATER FINANCIAL ADVISORS, LLC · SUGAR LAND, TX

More in Sugar Land, TX

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