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David W Shannon

Ubs Financial Services Inc.

Richmond, VA

Richmond, VA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2021-10-22
OH RA APPROVED 2021-10-22
TX RA APPROVED 2017-11-08
VA RA APPROVED 2017-11-08
  • CT RA
    APPROVED
    Since 2021-10-22
  • OH RA
    APPROVED
    Since 2021-10-22
  • TX RA
    APPROVED
    Since 2017-11-08
  • VA RA
    APPROVED
    Since 2017-11-08

Branch Locations

Richmond, VA • United States

951 East Byrd Street, Richmond, VA 23219 • 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 Richmond VA 08/2009 11/2017
Ubs Financial Services Richmond VA 11/2017 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-11-10
  • S66 Uniform Combined State Law Examination
    2009-11-10
Other Names
  • David W Shannon
  • David Wayne Shannon

View on SEC IAPD

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