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Lori A. Payne

Ubs Financial Services Inc.

Little Rock, AR

Little Rock, AR

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
AR RA APPROVED 2008-02-08
  • AR RA
    APPROVED
    Since 2008-02-08

Branch Locations

10800 Financial Center Parkway 4Th Floor, Little Rock, AR 72211 • United States

Little Rock, AR • 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 Little Rock AR 01/2008 Present
Previous Registrations
  • 2007-04-02 → 2008-01-28
    Morgan Stanley & Co. Llc
    Little Rock, AR
  • 2005-03-03 → 2007-04-02
    Morgan Stanley Dw Inc.
    Little Rock, AR
    Little Rock, AR
  • 2004-10-05 → 2005-03-07
    Kestra Investment Services, Llc
    Little Rock, AR
  • 2002-05-20 → 2004-12-31
    T. J. Raney & Sons, Inc.
    Little Rock, AR
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-11-07
S63 Uniform Securities Agent State Law Examination 1987-12-17
  • S65 Uniform Investment Adviser Law Examination
    1997-11-07
  • S63 Uniform Securities Agent State Law Examination
    1987-12-17
Other Names
  • Lori Ann Payne
  • Lori A Payne
  • Lori A. Payne
  • Lori A. A. Payne

View on SEC IAPD

Other Firms

EDWARD JONES
ARVEST WEALTH MANAGEMENT
STATE FARM INVESTMENT MANAGEMENT CORP.
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RAYMOND JAMES & ASSOCIATES, INC.
UNITED CAPITAL FINANCIAL ADVISORS
NFSG CORPORATION
OSAIC WEALTH, INC.

Other Investors

Thomas Milton Howard
Ammie Thompson
Chera Kaye Moore
Zachary Taylor Johnson
Gregory Scott Minton
BENJAMIN PAYNE LINCOLN
Danielle Francois Albright
LORI ANN ROBERTS

Other Offices

EDWARD JONES · LITTLE ROCK, AR
ARVEST WEALTH MANAGEMENT · LITTLE ROCK, AR
STATE FARM INVESTMENT MANAGEMENT CORP. · Little Rock, AR
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Little Rock, AR
RAYMOND JAMES & ASSOCIATES, INC. · LITTLE ROCK, AR
UNITED CAPITAL FINANCIAL ADVISORS · LITTLE ROCK, AR
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · LITTLE ROCK, AR
NFSG CORPORATION · LITTLE ROCK, AR

More in Little Rock, AR

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