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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2009-01-16
TX RA APPROVED 2009-01-09
  • FL RA
    APPROVED
    Since 2009-01-16
  • TX RA
    APPROVED
    Since 2009-01-09

Branch Locations

12800 University Drive Suite 500, Fort Myers, FL 33907 • 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
OrganizationCityStateFromTo
Ubs Financial Services Inc. Ft Myers FL 01/2009 Present
Previous Registrations
  • 2007-04-02 → 2009-01-13
    Morgan Stanley & Co. Llc
    Ft. Myers, FL
  • 1991-01-01 → 2007-04-02
    Morgan Stanley Dw Inc.
    Ft. Myers, FL
    Ft. Myers, FL
Other Businesses

McLagic Adventures / United States / 11619 Ranchette Rd / Fort Myers / FL / United States / 33966 / / No / Company / / Sport & Leisure Facilities / / We will periodically run Pelagic Birding Charters in the Gulf of Mexico / Active / Other / I will be the Captain of the boat and determine where we go look for the pelagic birds. / I will determine when the weather looks decent for a long range offshore boating trip. Then I will notify the interested parties our date of departure. The day of departure I will be in charge of determining where we go and what the target birds will be. / 0 / No / No / No / No / Start Date 08/20/2018 / / Yes / I may once a year take a day off to run offshore do to perfect weather conditions. However, generally this will be a Saturday & Sunday type of event. / Yes / 10000 / Yes / Yes / 100 / / Yes / We will operate out of the Sanibel Harbour Yacht Club and rund trips between Charlotte County waters down to the Dry Tortugas / No / / No / / I do this as a hobby. Now I can potentially get a financial benefit from my hobby. / No /

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1991-11-04
S63 Uniform Securities Agent State Law Examination 1988-01-13
  • S65 Uniform Investment Adviser Law Examination
    1991-11-04
  • S63 Uniform Securities Agent State Law Examination
    1988-01-13
Other Names
  • David Mcquade
  • David Lee Mcquade

View on SEC IAPD

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