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Doris Jo Adams Sowell

Ubs Financial Services Inc.

Memphis, TN

Memphis, TN

Senatobia, MS

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
MS RA APPROVED 2023-06-19
TX RA APPROVED_RES 2011-05-11
TN RA APPROVED 2004-01-13
  • MS RA
    APPROVED
    Since 2023-06-19
  • TX RA
    APPROVED_RES
    Since 2011-05-11
  • TN RA
    APPROVED
    Since 2004-01-13

Branch Locations

6070 Poplar Avenue Suite 400, Memphis, TN 38119 • United States

1717 West Massey Road, Memphis, TN 38120 • United States

Senatobia, MS • 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
Ubs Financial Services Inc. Memphis TN 08/2000 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1991-10-01
S63 Uniform Securities Agent State Law Examination 1980-12-08
  • S65 Uniform Investment Adviser Law Examination
    1991-10-01
  • S63 Uniform Securities Agent State Law Examination
    1980-12-08
Other Names
  • Doris Jo Sowell
  • Doris Jo Adams
  • Jo A. Sowell
  • Jo Sowell

View on SEC IAPD

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