Sally A. Bixler

Some features on this profile are disabled

CRD#: 1216007

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.

Sally A. Bixler, who also goes by Sally Marion Allen, Sally Allen Bixler, Sally Marion Bixler, was a registered financial professional .

Sally is a previously registered financial professional and started their career in finance in 1984. Sally had worked at 8 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Sally Marion Allen | Sally Allen Bixler | Sally Marion Bixler

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1)ST. PAUL'S SENIOR HOMES AND SERVICES 328 MAPLE STREET SAN DIEGO CA 92103 RETIREMENT/SENIOR CARE DIRECTOR/BOARD MEMBER STARTED:10-APR-2001 HOURS PER MONTH:1-10 NONE DURING TRADING. NOT INVESTMENT RELATED. 2) Womens Board of the Buffalo Zoo / 300 Parkside Ave Buffalo,NY 14214 / Association (i.e., Trade or Industry, Sport...)/ Charities, Cultural, Educational & Political Organisations / fundraising for the Zoo / Member of Board of Directors / / helping fundraise & volunteering time / Start Date 4/7/14 / one hour once a month 3) Lancaster Unleashed / 1166 Penora St Depew,NY 14043 / Association (i.e., Trade or Industry, Sport...)/ Charities, Cultural, Educational & Political Organisations / to raise funds for potential dog park / Other / committee member / attending meetings and volunteering for fundraising events / Start Date 1/20/16 / 4) The Point Loma Assembly/Investment related?: no/Talbot Street,San Diego,California 92106,US/Charity/Own and maintain a building for community use and gives money to community groups in need./Member of Board of directors/Coordinate membership programs/9/4/2019/Time required during working hours?: yes/ 5)Southwestern Yacht Club/2702 Qualtrough Street,San Diego,CA 92106, US/Association (e.g. Trade or Industry, Sport)/Member of a committee representing the interests of any third party/Secretary/8/13/2019/Time required off work?: yes

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Education

1973 - 1975

Experience

Past

April 15, 2010 - September 6, 2023

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SAN DIEGO, CA

Past

April 15, 2010 - January 2, 2025

UBS FINANCIAL SERVICES INC.

CRD#: 8174

SAN DIEGO, CA

Past

December 17, 1998 - April 19, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SAN DIEGO, CA

Past

November 9, 1998 - April 19, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SAN DIEGO, CA

Past

April 29, 1998 - November 19, 1998

ZIONS DIRECT, INC.

CRD#: 17776

SALT LAKE CITY, UT

Past

August 31, 1994 - October 13, 1997

AEGON USA SECURITIES INC.

CRD#: 13302

CEDAR RAPIDS, IA

Past

April 5, 1989 - August 22, 1994

FIRST INTERSTATE INVESTMENTS,INC.

CRD#: 17101

Past

April 26, 1988 - April 3, 1989

INTEGRATED RESOURCES INVESTMENT CENTERS, INC.

CRD#: 14338

Past

February 20, 1986 - March 24, 1987

GAF FINANCIAL AND INSURANCE SERVICES

CRD#: 14123

Past

January 23, 1986 - April 9, 1988

PAMCO SECURITIES AND INSURANCE SERVICES

CRD#: 11028

Past

August 21, 1984 - November 23, 1984

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

UBS FINANCIAL SERVICES INC.

CRD#: 8174 / SEC#: 801-7163, 8-16267

RIA

Registered Investment Advisory firm - SEC (1/22/1971 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/13/1998

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/18/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/1/1997

General Securities Principal Examination

Current Firm

UBS FINANCIAL SERVICES INC.

CRD#: 8174 / SEC#: 801-7163, 8-16267

RIA

Registered Investment Advisory firm - SEC (1/22/1971 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1200 Harbor Boulevard, Weehawken, NJ 07086

Mailing Address

315 Deaderick Street 3rd Fl, Compliance Department, Nashville, TN 37238

Phone number

(201) 352-3000

Established

Delaware since 06/30/1969

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

12,629

SEC notice filing (50 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

UBS FINANCIAL SERVICES WRAP FEE PROGRAMS DISCLOSURE BROCHURE (11/13/2025)

FINANCIAL PLANNING SERVICES DISCLOSURE BROCHURE (3/31/2025)

RETIREMENT PLAN CONSULTING SERVICES PROGRAM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
UBS AMERICAS INC.	OWNER
CAMACHO, MICHAEL ALAN	PRESIDENT	2907298
FRANCOMANO, LISA M.	CHIEF COMPLIANCE OFFICER FOR THE ADVISORY BUSINESS	2263875
MATTONE, RALPH	PRINCIPAL FINANCIAL OFFICER	1840894
MOZER, PETER	MANAGING DIRECTOR	2523858
MUNFA, LAUREN	CHIEF COMPLIANCE OFFICER	4431011
SAKAI, KIYE	GENERAL COUNSEL	7451987
SOMMA, JOSEPH	PRINCIPAL OPERATIONS OFFICER	2219496

Regulatory assets under management

Total Number of Accounts	1,134,923
AUM (Assets Under Management)	$ 808,822,670,899

Disclosures

Regulatory Event	475
Civil Event	5
Arbitration	443

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/26/2025	Cover Page	Report
05/15/2024	Cover Page	Report
12/19/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

IAR

Estero, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Sally A. Bixler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Education

Experience

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

ZIONS DIRECT, INC.

AEGON USA SECURITIES INC.

FIRST INTERSTATE INVESTMENTS,INC.

INTEGRATED RESOURCES INVESTMENT CENTERS, INC.

GAF FINANCIAL AND INSURANCE SERVICES

PAMCO SECURITIES AND INSURANCE SERVICES

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/13/1998

SIE

Date: 10/1/2018

Series 7

Date: 8/18/1984

Series 24

Date: 5/1/1997

Current Firm

UBS FINANCIAL SERVICES INC.

Contact information

SEC notice filing (50 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

UBS FINANCIAL SERVICES INC.

TRUST BUT VERIFY

Contact information

Similar Advisors