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Samantha Eileen Maley

Ubs Financial Services Inc.

Rochester, NY

Fairport, NY

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2021-10-07
NY RA APPROVED 2021-10-07
TX RA APPROVED 2021-10-07
  • CT RA
    APPROVED
    Since 2021-10-07
  • NY RA
    APPROVED
    Since 2021-10-07
  • TX RA
    APPROVED
    Since 2021-10-07

Branch Locations

400 Linden Oaks, Rochester, NY 14625 • United States

Fairport, NY • 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
Manning & Napier Advisors, Llc Fairport NY 09/2013 08/2019
Manning & Napier Investor Services, Inc. Fairport NY 08/2014 08/2019
Morgan Stanley Pittsford NY 08/2019 10/2021
Ubs Financial Services, Inc. Rochester NY 10/2021 Present
  • 09/2013 → 08/2019
    Manning & Napier Advisors, Llc
    Fairport, NY
  • 08/2014 → 08/2019
    Manning & Napier Investor Services, Inc.
    Fairport, NY
  • 08/2019 → 10/2021
    Morgan Stanley
    Pittsford, NY
  • 10/2021 → Present
    Ubs Financial Services, Inc.
    Rochester, NY
Previous Registrations
  • 2020-02-20 → 2021-11-01
    Morgan Stanley
    Rochester, NY
    Pittsford, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-02-20
S63 Uniform Securities Agent State Law Examination 2014-11-17
  • S66 Uniform Combined State Law Examination
    2020-02-20
  • S63 Uniform Securities Agent State Law Examination
    2014-11-17
Other Names
  • Samantha Maley

View on SEC IAPD

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AMY P STRUTT
HEATHER LYNN LUCAS
CHAD ROBERT JACOB
JASON ANTHONY MILNER

Other Offices

MORGAN STANLEY · Rochester, NY
COMMONWEALTH FINANCIAL NETWORK · ROCHESTER, NY
NOVEM GROUP · ROCHESTER, NY
OSAIC WEALTH, INC. · ROCHESTER, NY
EDELMAN FINANCIAL ENGINES · ROCHESTER, NY
RISE ADVISORS, LLC · ROCHESTER, NY
MARINER · Rochester, NY
UBS FINANCIAL SERVICES INC. · Rochester, NY

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