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Scott King

Ubs Financial Services Inc.

Weehawken, NJ

Chicago, IL

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2023-03-09
  • IL RA
    APPROVED
    Since 2023-03-09

Branch Locations

1000 & 1200 Harbor Blvd., Weehawken, NJ 07086 • United States

One North Wacker Drive, Chicago, IL 60606 • 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
Td Ameritrade Northbrook IL 07/2012 09/2016
Merrill Lynch, Pierce, Fenner & Smith Incorporated Rolling Meadows IL 09/2016 02/2023
Bank Of America, N.A. Rolling Meadows IL 10/2016 02/2023
Ubs Financial Services, Inc. Chicago IL 03/2023 Present
Previous Registrations
  • 2016-10-12 → 2023-03-14
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Chicago, IL
    Jacksonville, FL
    Chicago, IL
  • 2012-08-06 → 2016-09-26
    Td Ameritrade, Inc.
    Northbrook, IL
  • 2012-08-06 → 2016-09-26
    Td Ameritrade Investment Management, Llc
    Northbrook, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-08-01
S63 Uniform Securities Agent State Law Examination 2009-08-14
  • S66 Uniform Combined State Law Examination
    2012-08-01
  • S63 Uniform Securities Agent State Law Examination
    2009-08-14
Other Names
  • Scott Alan King

View on SEC IAPD

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