Best Investors Account Sign in

David Martin Dodd

Ubs Financial Services Inc.

Houston, TX

San Diego, CA

Claim This Profile
Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2013-03-28
CA RA APPROVED 2010-01-01
FL RA APPROVED 2010-01-01
  • TX RA
    APPROVED
    Since 2013-03-28
  • CA RA
    APPROVED
    Since 2010-01-01
  • FL RA
    APPROVED
    Since 2010-01-01

Branch Locations

4400 Post Oak Parkway Suite 1800, Houston, TX 77027 • United States

600 West Broadway Suite 2800, San Diego, CA 92101 • 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. Houston TX 01/2010 Present
Previous Registrations
  • 2005-08-05 → 2010-01-01
    Ubs International Inc.
    San Diego, CA
    New York, NY
    Miami, FL
    New York, NY
    New York, NY
    Los Angeles, CA
    San Diego, CA
    Beverly Hills, CA
  • 2003-07-01 → 2005-08-08
    Wells Fargo Clearing Services, Llc
    Miami, FL
  • 1997-01-03 → 2003-07-01
    Prudential Equity Group, Llc
    Miami, FL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-06-29
S63 Uniform Securities Agent State Law Examination 1986-11-18
  • S65 Uniform Investment Adviser Law Examination
    2001-06-29
  • S63 Uniform Securities Agent State Law Examination
    1986-11-18

View on SEC IAPD

Other Firms

BRIDGE CAPITAL ADVISORS
TSA WEALTH MANAGEMENT
PEREA CAPITAL
TRI-STAR ADVISORS, INC.
HORNOR, TOWNSEND & KENT, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
LPL FINANCIAL LLC
MARINER INDEPENDENT

Other Investors

John Charles Robinson
CRYSTAL ALLISON MCKEON
AUSTIN GENTRY MARRS
JONATHAN HARRISON SWANBURG
WILLIAM THOMAS PAYNE
JON CARTER VAUGHAN
GREGORY JAMES KALLUS
Philip Chukwuezugo Onochie

Other Offices

BRIDGE CAPITAL ADVISORS · HOUSTON, TX
TSA WEALTH MANAGEMENT · HOUSTON, TX
PEREA CAPITAL · HOUSTON, TX
TRI-STAR ADVISORS, INC. · HOUSTON, TX
HORNOR, TOWNSEND & KENT, LLC · Houston, TX
AMERIPRISE FINANCIAL SERVICES, LLC · Houston, TX
LPL FINANCIAL LLC · HOUSTON, TX
MARINER INDEPENDENT · Houston, TX

More in Houston, TX

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor