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Sherry L Tomes

Ubs Financial Services Inc.

Denver, CO

Lincoln, NE

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NE RA APPROVED 2009-06-12
  • NE RA
    APPROVED
    Since 2009-06-12

Branch Locations

4600 S. Ulster Street 7Th Floor, Denver, CO 80237 • United States

8415 Maddox Drive Suite 101, Lincoln, NE 68520 • 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 Lincoln NE 11/2013 Present
Previous Registrations
  • 2009-06-01 → 2009-06-10
    Morgan Stanley
    Lincoln, NE
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Lincoln, NE
  • 2003-05-23 → 2007-04-02
    Morgan Stanley Dw Inc.
    Lincoln, NE
    Lincoln, NE
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-05-01
S63 Uniform Securities Agent State Law Examination 2000-02-01
  • S65 Uniform Investment Adviser Law Examination
    2003-05-01
  • S63 Uniform Securities Agent State Law Examination
    2000-02-01
Other Names
  • Sherry Lynn Davis
  • Sherry L Tomes

View on SEC IAPD

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Other Offices

EXCELLERE PARTNERS · DENVER, CO
ALPINE QUANTITATIVE MANAGEMENT, LLC · DENVER, CO
MORGAN STANLEY · Denver, CO
CETERA INVESTMENT ADVISERS LLC · DENVER, CO
DREAM U.S. MANAGER LLC · DENVER, CO
KSL CAPITAL PARTNERS · DENVER, CO
CIBC PRIVATE WEALTH ADVISORS, INC. · Denver, CO
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