Former UBS Financial Services Inc. broker, David Fagenson (CRD#: 1652012) was suspended last week by the Financial Industry Regulatory Authority, Inc. (FINRA) for numerous unsuitable[…]
UBS financial services
From 2012 to 2018, Alex Gerardo Herrera (CRD#: 3204779) served as a broker and investment advisor for UBS Financial Services in Miami-Dade County, FL. Prior[…]
David Fagenson (CRD#: 1652012) is currently employed as a broker at Newbridge Securities Corporation in Boca Raton. Prior to joining this brokerage firm, Mr. Fagenson[…]
John Halsey Buck III (CRD#: 34383) is a previously registered broker and financial advisor. Brokercheck indicates that Mr. Buck has 53 years of experience in[…]
Kevin P. Smith (CRD#: 1363302) is a former broker and registered investment advisor (RIA). From 2009 to 2016, Mr. Smith was employed as a broker[…]
Dwight West (CRD#: 463778) is a registered broker. Since 2009, Mr. West has worked at UBS Financial Services in Carbondale, Colorado. Earlier this year, an[…]
John C. MacColl (CRD#: 839441) is a former broker and registered investment adviser (RIA). From 2006 to 2018, Mr. Maccoll was employed at UBS Financial[…]
Recently, two former UBS Financial Services brokers, Alex Herrera (CRD#: 3204779) and John Maccoll (CRD#: 839441), have been barred by FINRA. Mr. Herrera, who worked[…]
Donna Tucker (CRD#: 4696985) is a formerly registered securities broker. Most recently, Ms. Tucker was employed as an investment advisor at UBS Financial Services (2007-2013),[…]