Best Investors Account Sign in

Laurie Ann Pallas

Ubs Financial Services Inc.

Stamford, CT

Hyannis, MA

Claim This Profile
Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2013-01-15
  • CT RA
    APPROVED
    Since 2013-01-15

Branch Locations

600 Washington Blvd 9Th Floor, Stamford, CT 06901 • United States

1471 Iyannough Road, Hyannis, MA 02601 • 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. Stamford CT 01/2013 Present
Previous Registrations
  • 2012-03-22 → 2012-08-31
    Vision Investment Advisors, Llc
    Stamford, CT
  • 2009-01-21 → 2012-03-21
    Credit Suisse Securities (Usa) Llc
    Greenwich, CT
    New York, NY
    New York, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-01-20
S63 Uniform Securities Agent State Law Examination 2004-04-06
  • S66 Uniform Combined State Law Examination
    2009-01-20
  • S63 Uniform Securities Agent State Law Examination
    2004-04-06

View on SEC IAPD

Other Firms

COUNTERPOINTE INVESTMENT MANAGEMENT LLC
K2/D&S MANAGEMENT CO., L.L.C.
LONGRANGE CAPITAL, L.P.
DWM ASSET MANAGEMENT, LLC
O'SHAUGHNESSY ASSET MANAGEMENT, LLC
CONCENTRIC CAPITAL STRATEGIES L.P.
INTEGRA GLOBAL ADVISORS LLC
MEASURE 8 VENTURE PARTNERS

Other Investors

CLAUDINE ANTOINETTE SPENCE
RONALD JOHN SCHULER
PAUL JON ACKERLEY
PATRICK J MCSTAY
LENNY CASTAGNA
SCOTT MICHAEL BARTONE
Anthony Vollmer
Kristen Sue Clark

Other Offices

COUNTERPOINTE INVESTMENT MANAGEMENT LLC · STAMFORD, CT
K2/D&S MANAGEMENT CO., L.L.C. · STAMFORD, CT
LONGRANGE CAPITAL, L.P. · STAMFORD, CT
DWM ASSET MANAGEMENT, LLC · STAMFORD, CT
O'SHAUGHNESSY ASSET MANAGEMENT, LLC · STAMFORD, CT
CONCENTRIC CAPITAL STRATEGIES L.P. · STAMFORD, CT
INTEGRA GLOBAL ADVISORS LLC · Stamford, CT
MEASURE 8 VENTURE PARTNERS · STAMFORD, CT

More in Stamford, CT

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor