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Patrick Cook

Ubs Financial Services Inc.

Nashville, TN

Nashville, TN

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2026-08-28
  • TN RA
    APPROVED
    Since 2026-08-28

Branch Locations

3102 West End Avenue Suite 500, Nashville, TN 37203-6017 • United States

3102 West End Avenue Suite 780, Nashville, TN 37203 • 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
Coasthills Credit Union (Lpl Financial) Lompoc CA 03/2016 06/2018
Lpl Finanical Llc Lompoc CA 04/2016 06/2018
Commonwealth Financial Network San Diego CA 07/2018 06/2020
Ubs Securities Llc Nashville TN 09/2021 04/2024
University Of Notre Dame South Bend IN 06/2020 06/2021
Ubs Financial Services Inc Nashville TN 04/2024 Present
  • 03/2016 → 06/2018
    Coasthills Credit Union (Lpl Financial)
    Lompoc, CA
  • 04/2016 → 06/2018
    Lpl Finanical Llc
    Lompoc, CA
  • 07/2018 → 06/2020
    Commonwealth Financial Network
    San Diego, CA
  • 09/2021 → 04/2024
    Ubs Securities Llc
    Nashville, TN
  • 06/2020 → 06/2021
    University Of Notre Dame
    South Bend, IN
  • 04/2024 → Present
    Ubs Financial Services Inc
    Nashville, TN
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2026-08-25
S66 Uniform Combined State Law Examination 2015-08-03
  • S65 Uniform Investment Adviser Law Examination
    2026-08-25
  • S66 Uniform Combined State Law Examination
    2015-08-03
Other Names
  • Patrick Sullivan Cook

View on SEC IAPD

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Other Investors

JOHN STUART PIOVARCY
Robert Michael McMahan
Thaddeus B Corbin
HEATHER BARBOUR
CRYSTAL LYNN BEASTROM
JULIE G SANDBERG
JACKSON REESE MORAN
Hugh G Anderson

Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · NASHVILLE, TN
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · NASHVILLE, TN
WELLS FARGO CLEARING SERVICES, LLC · NASHVILLE, TN
WELLS FARGO CLEARING SERVICES, LLC · NASHVILLE, TN
WELLS FARGO CLEARING SERVICES, LLC · NASHVILLE, TN
OSAIC WEALTH, INC. · NASHVILLE, TN
OCEAN PARK ASSET MANAGEMENT, LLC · Nashville, TN
U.S. BANCORP ADVISORS, LLC · Nashville, TN

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