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Brian Connor Doak

Ubs Financial Services Inc.

Hunt Valley, MD

Easton, MD

Baltimore, MD

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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 2008-10-06
MD RA APPROVED 2008-08-28
  • TX RA
    APPROVED_RES
    Since 2008-10-06
  • MD RA
    APPROVED
    Since 2008-08-28

Branch Locations

307 International Circle, Hunt Valley, MD 21031 • United States

Easton, MD • United States

Baltimore, MD • 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 Hunt Valley MD 08/2008 Present
Previous Registrations
  • 2006-02-21 → 2008-09-11
    Citigroup Global Markets Inc.
    Towson, MD
    New York, NY
    Towson, MD
  • 1996-12-10 → 2006-02-21
    Legg Mason Wood Walker, Incorporated
    Towson, MD
Other Businesses

St. Paul's School / K-12 School11152 Falls RoadBrooklandvilleqMDUnited States21022 / I will be serving as a board member for my alma mater. / 9/1/2022 Easton High School,I'll be coaching high school baseball at the public school near my residence.,MDUnited States,www.tcps.com,High School baseball coach,Start date -3/2/2026

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-03-06
S63 Uniform Securities Agent State Law Examination 1995-02-27
  • S65 Uniform Investment Adviser Law Examination
    1995-03-06
  • S63 Uniform Securities Agent State Law Examination
    1995-02-27
Other Names
  • Brian Conner Doak

View on SEC IAPD

Other Firms

BAY HARBOR WEALTH MANAGEMENT, LLC
ABS CAPITAL PARTNERS, INC.
GROFF WEALTH MANAGEMENT
MONUMENTAL WEALTH, LLC
BUSH RIVER TRUST, LLC
OSAIC WEALTH, INC.
INDEPENDENT FINANCIAL PARTNERS
AE WEALTH MANAGEMENT, LLC

Other Investors

Andrew Benjamin Anthony
LANCE REID SCOTT
JOHN FRANCIS MORAN
Jack Richard Sweiderk
KENT RS GROFF
WILSON CROSBY TALIAFERRO
Cristina Polvinale Kothari
JOHN LUKE CHARLTON

Other Offices

BAY HARBOR WEALTH MANAGEMENT, LLC · HUNT VALLEY, MD
ABS CAPITAL PARTNERS, INC. · HUNT VALLEY, MD
GROFF WEALTH MANAGEMENT · HUNT VALLEY, MD
MONUMENTAL WEALTH, LLC · HUNT VALLEY, MD
BUSH RIVER TRUST, LLC · HUNT VALLEY, MD
OSAIC WEALTH, INC. · HUNT VALLEY, MD
INDEPENDENT FINANCIAL PARTNERS · Hunt Valley, MD
AE WEALTH MANAGEMENT, LLC · Hunt Valley, MD

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