Ex-UBS ‘Top’ Ohio Broker Registers as Indie after Unexpected Dismissal – AdvisorHub

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Ex-UBS ‘Top’ Ohio Broker Registers as Indie after unexpected dismissal. nicholson, for his part, worked for his first 21 years as a registered rep at Merrill Lynch, primarily in Ohio and Wisconsin, before joining SunTrust in January 2017 to run its south Florida high-net-worth business from Fort.

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UBS has dismissed a prominent advisor who led a three-state team of brokers overseeing more The "Financial Times" listed Findley this week as one of 14 brokers in Ohio who qualified for its FT 400 Top Financial A UBS spokesman did not respond to requests to confirm the reports of his dismissal.

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UBS Financial Services has told regulators that it fired Craig D. Findley, its acclaimed multi-billion dollar Ohio-based advisor, for violating firm policies The terse explanation of Findley’s dismissal was sent to state regulators in a summary of the firm’s U-5 termination notice that was reviewed by AdvisorHub.

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