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Dennis James Doherty

Ubs Financial Services Inc.

Melville, NY

CRD 2631697

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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
NY RA APPROVED 2021-10-26
  • NY RA
    APPROVED
    Since 2021-10-26

Branch Locations

58 South Service Road Suite 310, Melville, NY 11747 • 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
Scottrade, Inc. Forest Hills NY 04/2002 03/2018
Ubs Financial Services Inc. Melville NY 10/2018 Present
Unemployed New York NY 03/2018 10/2018
  • 04/2002 → 03/2018
    Scottrade, Inc.
    Forest Hills, NY
  • 10/2018 → Present
    Ubs Financial Services Inc.
    Melville, NY
  • 03/2018 → 10/2018
    Unemployed
    New York, NY
Previous Registrations
  • 2017-05-31 → 2018-03-07
    Scottrade Investment Management
    Saint Louis, MO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-05-30
S63 Uniform Securities Agent State Law Examination 1995-10-20
  • S66 Uniform Combined State Law Examination
    2017-05-30
  • S63 Uniform Securities Agent State Law Examination
    1995-10-20

View on SEC IAPD

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