Dennis William Laughlin

Current Employers

Employment History

• 10/2010 → 05/2019
  Ubs Financial Services Inc
  Melbourne, FL
• 05/2019 → Present
  Kestra Investment Services, Llc - Ap
  Melbourne, FL
• 05/2019 → Present
  Kestra Private Wealth Services
  Melbourne, FL

Previous Registrations

• 2010-10-28 → 2019-05-10
  Ubs Financial Services Inc.
  Melbourne, FL
• 2007-01-30 → 2010-11-04
  Stifel, Nicolaus & Company, Incorporated
  St. Louis, MO
  Melbourne, FL
• 2006-02-21 → 2007-02-07
  Citigroup Global Markets Inc.
  Suntree, FL
  New York, NY
  Suntree, FL
• 2002-04-04 → 2006-02-21
  Legg Mason Wood Walker, Incorporated
  Suntree, FL

Other Businesses

Business Name: Three Bridges Planning Investment Related: Yes Address: 304 S. Harbor City Blvd., Suite 200 Melbourne FL 32955 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through an independent outside RIA Position, Title or Relationship: Director of Portfolio Management Start Date: 5/1/2019 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Providing investment and securities advice to clientsBusiness Name: Calvary Chapel Melbourne Finance Committee Investment Related: No Address: 2955 Minton Road West Melbourne FL 32904 Nature of Business: Other Other/None of the Above None of the above Position, Title or Relationship: Committee member Start Date: 7/1/2012 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Advise of church finance issues. Make budgeting decisions.

Exams

• S65 Uniform Investment Adviser Law Examination
  1994-08-11
• S63 Uniform Securities Agent State Law Examination
  1984-02-04

Other Names

• Dennis W Laughlin