DALE RAY WOOLHISER is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 100 RAILROAD STREET W, 1000 & 1200 LINCOLN HARBOR BLVD, MISSOULA, MT, 59802.
DALE RAY WOOLHISER has worked at UBS FINANCIAL SERVICES INC. since April 24, 2009
Disclosure History
DALE RAY WOOLHISER has 1 Disclosure Event(s).
Date: June 19, 1998 Category: Regulatory Initiated By: STATE OF WASHINGTON Allegations: VIOLATIONS OF THE SECURITIES ACT OFWASHINGTON Resolution: Consent Sanction Details: THE STATE DEPARTMENT OF FINANCIAL INSTITUTIONSSECURITIES DIVISION ISSUED AN UNDERTAKING AND AGREEMENTVACATING SDO-41-98 AS TO DALE WOOLHISER. THIS UNDERTAKINGVACATED THE SUMMARY ORDER TO CEASE AND DESIST WHICH WASPREVIOUSLY ISSUED. Broker Comment: WOOLHISER WITHOUT ADMITTING OR DENYING THEALLEGATIONS, AGREED TO NOT VIOLATE RCW 21.20.140 RCW 21.20.702AND TO PAY AUDIT AND INVESTIGATORY COSTS IN THE AMOUNT OF$5,000.00
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