Nichole Elizabeth Elizabeth Adams

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TN	RA	APPROVED	2023-03-06
CA	RA	APPROVED	2015-09-17

TN RA
APPROVED

Since 2023-03-06
CA RA
APPROVED

Since 2015-09-17

Branch Locations

1200 Prospect Street Suite 100, La Jolla, CA 92037 • United States

Murfreesboro, TN • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc.	La Jolla	CA	08/2015	Present

08/2015 → Present

Ubs Financial Services Inc.

La Jolla, CA

Previous Registrations

2009-05-21 → 2010-06-29

Citigroup Global Markets Inc.

Fountain Valley, CA

Palm Desert, CA

Beaumont, CA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2008-12-02
S63	Uniform Securities Agent State Law Examination	2005-08-13

S66 Uniform Combined State Law Examination

2008-12-02
S63 Uniform Securities Agent State Law Examination

2005-08-13

Other Names

Nichole Elizabeth Heighes
Nichole Elizabeth Moore
Nichole Elizabeth Adams

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

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