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Ashley Engel

Ubs Financial Services Inc.

Oklahoma City, OK

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
OK RA APPROVED 2019-10-08
  • OK RA
    APPROVED
    Since 2019-10-08

Branch Locations

4801 Gaillardia Pkwy Building C, Suite 100, Oklahoma City, OK 73142-1890 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Oklahoma City OK 07/2011 11/2017
Ubs Financial Services Inc. Oklahoma City OK 11/2017 Present
  • 07/2011 → 11/2017
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Oklahoma City, OK
  • 11/2017 → Present
    Ubs Financial Services Inc.
    Oklahoma City, OK
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-09-30
S63 Uniform Securities Agent State Law Examination 1997-08-18
  • S66 Uniform Combined State Law Examination
    2019-09-30
  • S63 Uniform Securities Agent State Law Examination
    1997-08-18
Other Names
  • Ashley Waddle
  • Ashley A Smith
  • Ashley Ann Waddle
  • Ashley Ann Smith
  • Ashley Smith

View on SEC IAPD

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Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · OKLAHOMA CITY, OK
HILLTOP SECURITIES INC. · OKLAHOMA CITY, OK
LPL FINANCIAL LLC · OKLAHOMA CITY, OK
UBS FINANCIAL SERVICES INC. · OKLAHOMA CITY, OK
EQUITABLE ADVISORS, LLC · OKLAHOMA CITY, OK
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Oklahoma City, OK
LPL FINANCIAL LLC · Oklahoma City, OK
FOURPATH CAPITAL MANAGEMENT, LLC · OKLAHOMA CITY, OK

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