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Shawn Glen Nicholas

Ubs Financial Services Inc.

Plano, TX

Addison, TX

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
OK RA APPROVED 2003-06-11
TX RA APPROVED 1993-12-03
  • OK RA
    APPROVED
    Since 2003-06-11
  • TX RA
    APPROVED
    Since 1993-12-03

Branch Locations

7250 Dallas Parkway Suite120, Plano, TX 75024 • United States

5080 Spectrum Drive Suite 1000 West, Addison, TX 75001 • 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. Addison TX 12/1993 Present
Other Businesses

Aggie/Longhorn United States / 2409 Club Lake Trl texas / Partnership / Real Estate / Partner / Start Date 6/12/2019 No No /

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-12-14
S63 Uniform Securities Agent State Law Examination 1992-09-18
  • S65 Uniform Investment Adviser Law Examination
    1992-12-14
  • S63 Uniform Securities Agent State Law Examination
    1992-09-18

View on SEC IAPD

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