Fred L. Hudson
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Fred Lennox Hudson, who also goes by Fred Lennox Hudson III, Fred Lennox Hudson, was a registered financial professional .
Fred is a previously registered financial professional and started their career in finance in 1982. Fred had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 13, 2018 - November 20, 2018
UBS SECURITIES LLC
October 14, 2005 - November 20, 2018
UBS FINANCIAL SERVICES INC.
January 9, 2001 - October 13, 2005
MORGAN KEEGAN & COMPANY, LLC
April 3, 1996 - December 8, 2000
CREDIT SUISSE SECURITIES (USA) LLC
August 1, 1994 - April 2, 1996
JOSEPHTHAL & CO., INC.
December 12, 1991 - July 26, 1994
INVESTEC INC.
April 16, 1990 - December 4, 1991
CREDIT SUISSE SECURITIES (USA) LLC
August 15, 1986 - April 27, 1990
MABON, NUGENT & CO.
February 26, 1982 - July 31, 1986
J. BUSH & CO., INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 12/5/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
UBS SECURITIES LLC
CRD#: 7654 / SEC#: 801-67178, 8-22651
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC | MEMBER, VOTING | |
| CASAVECHIA, RICHARD MICHAEL | MANAGING DIRECTOR, SENIOR MANAGER INVESTMENT BANKING | 4732235 |
| DIMARCO, PATRICK M | CHIEF COMPLIANCE OFFICER | 4549136 |
| EBERT, MICHAEL J | PRESIDENT AND CHAIR OF THE BOARD | 4556059 |
| HAZELWOOD, TRICIA | MANAGING DIRECTOR, SENIOR MANAGER TRADING & SALES | 4232035 |
| LOFTUS, MICHAEL L | MANAGING ATTORNEY, INVESTMENT BANKING & CAPITAL MARKETS | 4176467 |
| MATTONE, RALPH MICHAEL | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| NIETO, CALLUM | PRINCIPAL OPERATIONS OFFICER | 6765482 |
| VAN TASSEL, JAMES C | MANAGING DIRECTOR, US EQUITIES RESEARCH | 2558212 |
Disclosures
| Regulatory Event | 308 |
| Civil Event | 4 |
| Arbitration | 3 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
