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Brock Balis

Ubs Financial Services Inc.

Atlanta, GA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2024-08-14
  • GA RA
    APPROVED
    Since 2024-08-14

Branch Locations

600 Northpark Town Center 1200 Abernathy Road Suite 1850, Atlanta, GA 30328 • 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
E*Trade Securities Llc Alpharetta GA 06/2019 12/2019
Cracker Barrel Statesboro GA 12/2017 05/2019
Ken's Foods / Ranstad Mcdonough GA 05/2017 08/2017
Advanced Pressure Solutions Buford GA 01/2016 06/2017
Andrew College Cuthbert GA 08/2015 05/2017
Georgia Southern University Statesboro GA 08/2017 05/2019
E*Trade Securities Llc Alpharetta GA 12/2019 12/2019
E*Trade Securities Llc Alpharetta GA 12/2019 07/2021
E*Trade Securities Llc Alpharetta GA 07/2021 10/2023
Morgan Stanley Alpharetta GA 09/2023 08/2024
Ubs Financial Services, Inc Atlanta GA 08/2024 Present
  • 06/2019 → 12/2019
    E*Trade Securities Llc
    Alpharetta, GA
  • 12/2017 → 05/2019
    Cracker Barrel
    Statesboro, GA
  • 05/2017 → 08/2017
    Ken's Foods / Ranstad
    Mcdonough, GA
  • 01/2016 → 06/2017
    Advanced Pressure Solutions
    Buford, GA
  • 08/2015 → 05/2017
    Andrew College
    Cuthbert, GA
  • 08/2017 → 05/2019
    Georgia Southern University
    Statesboro, GA
  • 12/2019 → 12/2019
    E*Trade Securities Llc
    Alpharetta, GA
  • 12/2019 → 07/2021
    E*Trade Securities Llc
    Alpharetta, GA
  • 07/2021 → 10/2023
    E*Trade Securities Llc
    Alpharetta, GA
  • 09/2023 → 08/2024
    Morgan Stanley
    Alpharetta, GA
  • 08/2024 → Present
    Ubs Financial Services, Inc
    Atlanta, GA
Previous Registrations
  • 2024-03-25 → 2024-08-13
    Morgan Stanley
    Alpharetta, GA
    Alpharetta, GA
    Dawsonville, GA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-03-25
S63 Uniform Securities Agent State Law Examination 2019-08-05
  • S66 Uniform Combined State Law Examination
    2024-03-25
  • S63 Uniform Securities Agent State Law Examination
    2019-08-05
Other Names
  • Brock Balis
  • Brock Livingstone Balis

View on SEC IAPD

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