David James Doughty

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
VI	RA	APPROVED	2026-06-16
TX	RA	APPROVED	2011-07-01

VI RA
APPROVED

Since 2026-06-16
TX RA
APPROVED

Since 2011-07-01

Branch Locations

Nocona, TX • United States

7250 Dallas Parkway Suite120, Plano, TX 75024 • United States

8-29 Peterborg, St. Thomas, VI 00802 • 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

Organization	City	State	From	To
Ubs Financial Services	Plano	TX	07/2011	Present

07/2011 → Present

Ubs Financial Services

Plano, TX

Previous Registrations

1993-02-22 → 2011-07-05

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Plano, TX

Frisco, TX

Other Businesses

1) LOVEALL LAND & PRODUCTION / 1000 GARLINGTON BOWIE TX 76320 / PARTNERSHIP / OIL & GAS INDUSTRIES (EXPLORATION, PRODUCTION, INTEGRATED)/ OIL & GAS EXPLORATION / PARTNER / MANAGEMENT / START DATE 01/03/2011 . 2)Marilyn Faye Doughty Estate David James Doughty Executor/4100 W Eldorado Pkwy #100-200 / McKinney/Texas 75070/ Executor position for my mothers estate /Resolve my mothers estate/Executive director / Receive compensation?: Yes/ Investment in company?: yes, 50% / Suthority to make investmenet decisons?: yes/ Start Date 8/13/2019 3) Loveall Land and Production II LLC/ ADDRESS: 1103 Howard Road, Nocona, TX USA 76255/NATURE OF BUSINESS: Oil & Gas Industries (Exploration, Production, Integrated)-Oil & Gas Royalty Interests/POSITION: Proprietor / owner/DUTIES: Management/START DATE: 5/27/2022

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1993-07-26
S63	Uniform Securities Agent State Law Examination	1988-03-22

S65 Uniform Investment Adviser Law Examination

1993-07-26
S63 Uniform Securities Agent State Law Examination

1988-03-22

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