Derek Adam Vance

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2014-03-14
OH	RA	APPROVED	2014-01-31

TX RA
APPROVED_RES

Since 2014-03-14
OH RA
APPROVED

Since 2014-01-31

Branch Locations

3601 Rigby Road Suite 500, Miamisburg, OH 45342 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ubs	Centerville	OH	01/2014	Present

01/2014 → Present

Ubs

Centerville, OH

Previous Registrations

2012-09-05 → 2014-02-07

Thrivent Investment Management Inc.

Cleveland, OH

Kettering, OH
2011-11-21 → 2012-09-04

Key Investment Services Llc

Dayton, OH

Dayton, OH

Springfield, OH
2011-04-04 → 2011-10-06

Allstate Financial Advisors, Llc

Centerville, OH
2009-01-28 → 2010-06-25

Fifth Third Securities, Inc.

Dayton, OH

Dayton, OH

Dayton, OH

Moraine, OH

Dayton, OH

Centerville, OH
2006-04-20 → 2009-02-10

Citigroup Global Markets Inc.

Dayton, OH

Other Businesses

Vance's Gaited Acres, LLC / 3385 Middle Run Rd Waynesville,OH 45068 / Boarding Horses, owner, Start Date 07/13/2016 /

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2006-08-11
S63	Uniform Securities Agent State Law Examination	2006-04-03

S65 Uniform Investment Adviser Law Examination

2006-08-11
S63 Uniform Securities Agent State Law Examination

2006-04-03

Other Names

Derek A Vance
Derek Adam Vance
Derek Vance
Derek Adam Vance
Derek Adam Adam Vance

View on SEC IAPD