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Lisa Faye Sherrod

Ubs Financial Services Inc.

Plano, TX

Addison, TX

CRD 2549654

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Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 1999-08-19
  • TX RA
    APPROVED
    Since 1999-08-19

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 08/1999 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-05-14
S63 Uniform Securities Agent State Law Examination 1995-05-15
  • S66 Uniform Combined State Law Examination
    2018-05-14
  • S63 Uniform Securities Agent State Law Examination
    1995-05-15
Other Names
  • Lisa F Sherrod

View on SEC IAPD

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John Wayne Purvis
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