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Morgan Paul Hees

Ubs Financial Services Inc.

Santa Fe, NM

Las Vegas, NV

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NM RA APPROVED 2015-01-20
TX RA APPROVED 2015-01-20
  • NM RA
    APPROVED
    Since 2015-01-20
  • TX RA
    APPROVED
    Since 2015-01-20

Branch Locations

125 Lincoln Ave Ste 401, Santa Fe, NM 87501 • United States

10801 W. Charleston Blvd, Las Vegas, NV 89135 • 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. Santa Fe NM 01/2015 Present
Previous Registrations
  • 2009-06-01 → 2015-01-28
    Morgan Stanley
    Santa Fe, NM
    Santa Fe, NM
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Santa Fe, NM
  • 1996-07-15 → 2007-04-02
    Morgan Stanley Dw Inc.
    Santa Fe, NM
    Santa Fe, NM
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-12-07
S63 Uniform Securities Agent State Law Examination 1995-11-10
  • S65 Uniform Investment Adviser Law Examination
    1995-12-07
  • S63 Uniform Securities Agent State Law Examination
    1995-11-10

View on SEC IAPD

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G. ALLEN FINANCIAL INC.
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
EP WEALTH ADVISORS
EDWARD JONES
RAYMOND JAMES & ASSOCIATES, INC.
EDDIE HAGGAR CAPITAL MGT, INC.

Other Investors

LAWRENCE ELLIOT SCHWARTZ
ANTONIO CARLOS LOPEZ
ROBERT CALDER STACK
BRUCE HOWARD GALPERT
JESSICA LEIGH MARLOWE
QUENTIN JOHN HEFFRON
JOHN BARRY GERST
JILL MARIE ENLOE

Other Offices

WELLS FARGO CLEARING SERVICES, LLC · SANTA FE, NM
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · SANTA FE, NM
G. ALLEN FINANCIAL INC. · SANTA FE, NM
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · SANTA FE, NM
EP WEALTH ADVISORS · Santa Fe, NM
EDWARD JONES · SANTA FE, NM
RAYMOND JAMES & ASSOCIATES, INC. · SANTA FE, NM
EDDIE HAGGAR CAPITAL MGT, INC. · SANTA FE, NM

More in Santa Fe, NM

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