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Tracey Lynn Keith

Ubs Financial Services Inc.

Ft. Lauderdale, FL

Fort Lauderdale, FL

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2008-12-04
  • FL RA
    APPROVED
    Since 2008-12-04

Branch Locations

401 East Las Olas Boulevard Las Olas Centre, Ft. Lauderdale, FL 33301 • United States

Fort Lauderdale, FL • 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 Ft. Lauderdale FL 11/2008 Present
Previous Registrations
Other Businesses

QUICK DROP INTERNATIONAL-NON INVESTMENT RELATED-AREA DEVELOPER-OUR AREA DEVELOPMENT NIGHTS PASSIVE INCOME. 2 HOURS PER MONTH AS BOOKKEEPING DURING NON SECURITIES TRADING HOURS. 2)JONATHAN KEITH PA / 6331 NE 19TH TERRACE FORT LAUDERDALE,FL 33308 / COMPANY/ REAL ESTATE / REAL ESTATE BROKER AND AGENTS / OTHER / NON-WORKING OFFICER / START DATE 3/20/2014

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-01-29
S63 Uniform Securities Agent State Law Examination 1998-08-11
S65 Uniform Investment Adviser Law Examination 1995-01-12
  • S66 Uniform Combined State Law Examination
    2007-01-29
  • S63 Uniform Securities Agent State Law Examination
    1998-08-11
  • S65 Uniform Investment Adviser Law Examination
    1995-01-12
Other Names
  • Tracey L Connolly
  • Tracey Keller
  • Tracey Lynn Connolly
  • Tracey Lynn Keller

View on SEC IAPD

Other Firms

KOVACK ADVISORS, INC.
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
FIRST CITIZENS INVESTOR SERVICES, INC.
J.P. MORGAN SECURITIES LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
CETERA INVESTMENT ADVISERS LLC
EDWARD JONES
FINANCIAL PLANNING SERVICES, INC.

Other Investors

DARRIN ROBERT HALSEY
LINDELL G DOUGLAS
MELINDA CHERISE MEACHAM
MATTHEW DAVID OSBORN
Danny Young
RINALDO DIAZ-FLORES
Konstantin Chrenow
Dorota J Gilbert

Other Offices

KOVACK ADVISORS, INC. · FT. LAUDERDALE, FL
KOVACK ADVISORS, INC. · Fort Lauderdale, FL
KOVACK ADVISORS, INC. · Fort Lauderdal, FL
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Fort Lauderdale, FL
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Fort Lauderdale, FL
FIRST CITIZENS INVESTOR SERVICES, INC. · Ft Lauderdale, FL
J.P. MORGAN SECURITIES LLC · POMPANO BEACH, FL
STATE FARM INVESTMENT MANAGEMENT CORP. · Fort Lauderdale, FL

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