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Tracy Smith King

Ubs Financial Services Inc.

Louisville, KY

Louisville, KY

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2010-01-25
KY RA APPROVED 2004-01-08
  • TX RA
    APPROVED_RES
    Since 2010-01-25
  • KY RA
    APPROVED
    Since 2004-01-08

Branch Locations

500 North Hurstbourne Suite 300, Louisville, KY 40222 • United States

Louisville, KY • 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 Louisville KY 06/2007 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-01-02
S63 Uniform Securities Agent State Law Examination 1994-10-20
  • S66 Uniform Combined State Law Examination
    2001-01-02
  • S63 Uniform Securities Agent State Law Examination
    1994-10-20
Other Names
  • Tracy Lynn King

View on SEC IAPD

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