Douglas Wayne Tenny

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2019-02-01
CA	RA	APPROVED	2010-10-01

TX RA
APPROVED

Since 2019-02-01
CA RA
APPROVED

Since 2010-10-01

Branch Locations

75 280 Highway 111, Indian Wells, CA 92210 • United States

Georgetown, TX • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc	Indian Wells	CA	09/2010	Present

09/2010 → Present

Ubs Financial Services Inc

Indian Wells, CA

Previous Registrations

2004-12-06 → 2010-10-20

Wells Fargo Investments, Llc

Rancho Mirage, CA

Palm Desert, CA

Rancho Mirage, CA
1997-07-08 → 2004-12-07

Morgan Stanley Dw Inc.

Palm Desert, CA

Other Businesses

INVESTMENT MANAGEMENT CONSULTANT'S ASSOCIATION / 5619 DTC PARKWAY, STE. 500 GREENWOOD VILLAGE, CO 80111 / TRADE OR INDUSTRY ASSOCIATION / FINANCIAL (CONSUMER & INVESTMENT SERVICES) / IMCA?INVESTMENT MANAGEMENT CONSULTANTS ASSOCIATION?WAS ESTABLISHED IN 1985 TO DELIVER THE PREMIER INVESTMENT CONSULTING AND WEALTH MANAGEMENT CREDENTIALS AND WORLD-CLASS EDUCATIONAL OFFERINGS?MEMBERSHIP, CONFERENCES, RESEARCH, AND PUBLICATIONS. IMCA SETS / IS THIS AN INDUSTRY SECTOR ORGANIZATION? YES IMCA?INVESTMENT MANAGEMENT CONSULTANTS ASSOCIATION?WAS ESTABLISHED IN 1985 TO DELIVER THE PREMIER INVESTMENT CONSULTING AND WEALTH MANAGEMENT CREDENTIALS AND WORLD-CLASS EDUCATIONAL OFFERINGS?MEMBERSHIP, CONFERENCES, RESEARCH, AND PUBLICATIONS. IMCA SETS / OTHER MEMBER OF THE ETHICS COMMITTEE AND PEER REVIEW HEARING PANEL MEMBER / MEMBER OF THE ETHICS COMMITTEE AND PEER REVIEW HEARING PANEL MEMBER / WILL YOU HAVE AUTHORITY TO MAKE INVESTMENT DECISIONS ON BEHALF OF THE COMPANY? NO/ START DATE 04/25/2005/ ONE HOUR PER MONTH / COMPLIANCE APPROVAL SUBJECT TO RESTRICTIONS NOTED IN THE OUTSIDE ACTIVITIES GUIDE.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-06-18
S63	Uniform Securities Agent State Law Examination	1985-09-30

S65 Uniform Investment Adviser Law Examination

1996-06-18
S63 Uniform Securities Agent State Law Examination

1985-09-30

View on SEC IAPD