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Scott Matthew Rhea

Ubs Financial Services Inc.

Knoxville, TN

Knoxville, TN

Nashville, TN

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2013-05-06
TN RA APPROVED 2013-03-28
  • TX RA
    APPROVED
    Since 2013-05-06
  • TN RA
    APPROVED
    Since 2013-03-28

Branch Locations

Knoxville, TN • United States

800 South Gay Street Suite 2600, Knoxville, TN 37929 • United States

3102 West End Avenue Suite 500, Nashville, TN 37203-6017 • 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 Financial Services Inc. Knoxville TN 03/2013 Present
Previous Registrations
  • 2009-06-01 → 2013-04-12
    Morgan Stanley
    Knoxville, TN
  • 2006-02-21 → 2009-06-01
    Citigroup Global Markets Inc.
    Knoxville, TN
    Knoxville, TN
    New York, NY
    Knoxville, TN
    Knoxville, TN
  • 2004-02-23 → 2006-02-21
    Legg Mason Wood Walker, Incorporated
    Knoxville, TN
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-01-22
S63 Uniform Securities Agent State Law Examination 1992-07-17
  • S65 Uniform Investment Adviser Law Examination
    1993-01-22
  • S63 Uniform Securities Agent State Law Examination
    1992-07-17
Designations

View on SEC IAPD

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