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Brooke Nicole Banning

Ubs Financial Services Inc.

Tampa, FL

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2021-07-28
  • FL RA
    APPROVED
    Since 2021-07-28

Branch Locations

101 East Kennedy Boulevard, Suite 1800, Tampa, FL 33602 • 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
Alliancebernstein Tampa FL 08/2020 Present
Jpmorgan Securities Llc Dallas TX 01/2017 07/2020
Levin Financial Group Tampa FL 06/2016 12/2016
Unemployed - Relocating From Fl To Tx Belleair FL 12/2016 01/2017
Ubs Financial Services Tampa FL 05/2021 Present
  • 08/2020 → Present
    Alliancebernstein
    Tampa, FL
  • 01/2017 → 07/2020
    Jpmorgan Securities Llc
    Dallas, TX
  • 06/2016 → 12/2016
    Levin Financial Group
    Tampa, FL
  • 12/2016 → 01/2017
    Unemployed - Relocating From Fl To Tx
    Belleair, FL
  • 05/2021 → Present
    Ubs Financial Services
    Tampa, FL
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-05-24
  • S66 Uniform Combined State Law Examination
    2017-05-24

View on SEC IAPD

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