Best Investors Account Sign in

Spencer A Moore

Ubs Financial Services Inc.

Austin, TX

Claim This Profile
Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-02-12
  • TX RA
    APPROVED
    Since 2025-02-12

Branch Locations

401 W 4Th Street Suite 3100, Austin, TX 78701 • 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
Ubs Austin TX 05/2016 09/2016
Rhodes College Memphis TN 09/2016 05/2017
Ubs New York NY 05/2017 09/2017
Rhodes College Memphis TN 09/2017 05/2018
Chickasaw Capital Management Memphis TN 01/2018 05/2018
First Trust Portfolios L.P. Wheaton IL 05/2018 12/2024
First Trust Advisors L.P. Wheaton IL 05/2018 12/2024
Ubs Financial Services Austin TX 02/2025 Present
  • 05/2016 → 09/2016
    Ubs
    Austin, TX
  • 09/2016 → 05/2017
    Rhodes College
    Memphis, TN
  • 05/2017 → 09/2017
    Ubs
    New York, NY
  • 09/2017 → 05/2018
    Rhodes College
    Memphis, TN
  • 01/2018 → 05/2018
    Chickasaw Capital Management
    Memphis, TN
  • 05/2018 → 12/2024
    First Trust Portfolios L.P.
    Wheaton, IL
  • 05/2018 → 12/2024
    First Trust Advisors L.P.
    Wheaton, IL
  • 02/2025 → Present
    Ubs Financial Services
    Austin, TX
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-06-07
  • S66 Uniform Combined State Law Examination
    2018-06-07
Other Names
  • Spencer Moore
  • Spencer A Moore

View on SEC IAPD

More in Austin, TX

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor