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Lisa Marie Theys

Ubs Financial Services Inc.

Nashville, TN

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2018-08-07
  • TN RA
    APPROVED
    Since 2018-08-07

Branch Locations

3102 West End Avenue Suite 500, Nashville, TN 37203-6017 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Florham Park NJ 04/1989 Present
Ubs Financial Services Inc. Nashville TN 07/2018 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-09-01
S63 Uniform Securities Agent State Law Examination 1997-01-24
  • S66 Uniform Combined State Law Examination
    2005-09-01
  • S63 Uniform Securities Agent State Law Examination
    1997-01-24
Other Names
  • Lisa Marie Theys
  • Lisa Marie Hoffman
  • Lisa Theys

View on SEC IAPD

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Hugh G Anderson

Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · NASHVILLE, TN
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · NASHVILLE, TN
WELLS FARGO CLEARING SERVICES, LLC · NASHVILLE, TN
WELLS FARGO CLEARING SERVICES, LLC · NASHVILLE, TN
WELLS FARGO CLEARING SERVICES, LLC · NASHVILLE, TN
OSAIC WEALTH, INC. · NASHVILLE, TN
OCEAN PARK ASSET MANAGEMENT, LLC · Nashville, TN
U.S. BANCORP ADVISORS, LLC · Nashville, TN

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