{"hits":{"total":1,"hits":[{"_type":"_doc","_source":{"content":"{\"basicInformation\": {\"individualId\": 4262911, \"firstName\": \"DREW\", \"middleName\": \"SCOTT\", \"lastName\": \"FREIDES\", \"otherNames\": [], \"bcScope\": \"Active\", \"iaScope\": \"Active\", \"daysInIndustryCalculatedDate\": \"10/18/2000\"}, \"currentEmployments\": [{\"firmId\": 8174, \"firmName\": \"UBS FINANCIAL SERVICES INC.\", \"iaOnly\": \"N\", \"registrationBeginDate\": \"4/6/2009\", \"firmBCScope\": \"ACTIVE\", \"firmIAScope\": \"ACTIVE\", \"iaSECNumber\": \"7163\", \"iaSECNumberType\": \"801\", \"bdSECNumber\": \"16267\", \"branchOfficeLocations\": [{\"displayOrder\": 2, \"locatedAtFlag\": \"Y\", \"supervisedFromFlag\": \"N\", \"privateResidenceFlag\": \"N\", \"branchOfficeId\": \"537367\", \"street1\": \"401 W 4th Street\", \"street2\": \"SUITE 3100\", \"city\": \"AUSTIN\", \"cityAlias\": [\"AUSTIN\"], \"state\": \"TX\", \"country\": \"United States\", \"zipCode\": \"78701\", \"latitude\": \"30.2672\", \"longitude\": \"-97.742306\", \"geoLocation\": \"30.2672,-97.742306\", \"nonRegisteredOfficeFlag\": \"N\", \"elaBeginDate\": \"01/08/2026\"}]}], \"currentIAEmployments\": [{\"firmId\": 8174, \"firmName\": \"UBS FINANCIAL SERVICES INC.\", \"iaOnly\": \"Y\", \"registrationBeginDate\": \"4/6/2009\", \"firmBCScope\": \"ACTIVE\", \"firmIAScope\": \"ACTIVE\", \"iaSECNumber\": \"7163\", \"iaSECNumberType\": \"801\", \"bdSECNumber\": \"16267\", \"branchOfficeLocations\": [{\"displayOrder\": 2, \"locatedAtFlag\": \"Y\", \"supervisedFromFlag\": \"N\", \"privateResidenceFlag\": \"N\", \"branchOfficeId\": \"537367\", \"street1\": \"401 W 4th Street\", \"street2\": \"SUITE 3100\", \"city\": \"AUSTIN\", \"cityAlias\": [\"AUSTIN\"], \"state\": \"TX\", \"country\": \"United States\", \"zipCode\": \"78701\", \"latitude\": \"30.2672\", \"longitude\": \"-97.742306\", \"geoLocation\": \"30.2672,-97.742306\", \"nonRegisteredOfficeFlag\": \"N\", \"elaBeginDate\": \"01/08/2026\"}]}], \"previousEmployments\": [{\"iaOnly\": \"N\", \"iaSECNumber\": \"16048\", \"iaSECNumberType\": \"801\", \"bdSECNumber\": \"129\", \"firmId\": 361, \"firmName\": \"GOLDMAN, SACHS & CO.\", \"city\": \"NEW YORK\", \"state\": \"NY\", \"country\": \"UNITED STATES\", \"registrationBeginDate\": \"10/19/2000\", \"registrationEndDate\": \"4/8/2009\", \"firmBCScope\": \"ACTIVE\", \"firmIAScope\": \"ACTIVE\"}], \"previousIAEmployments\": [], \"disclosureFlag\": \"Y\", \"iaDisclosureFlag\": \"Y\", \"disclosures\": [{\"eventDate\": \"7/1/2024\", \"disclosureType\": \"Customer Dispute\", \"disclosureResolution\": \"Denied\", \"isIapdExcludedCCFlag\": \"N\", \"isBcExcludedCCFlag\": \"N\", \"bcCtgryType\": 10, \"iaCtgryType\": 10, \"disclosureDetail\": {\"Allegations\": \"Time Frame: February 24, 2023 / Customer alleges she did not authorize escrow payoff payment made from her account to purchaser of her and her ex-husband's house, and that payment was made to benefit her ex-husband.\", \"DisplayAAOLinkIfExists\": \"N\", \"arbitrationClaimFiledDetail\": \"\", \"arbitrationDocketNumber\": \"\", \"Broker Comment\": [\"I strongly disagree with this complaint. The complaining client went through an acrimonious divorce, and I am caught in the crossfire of her anger against her ex-husband.  This complaint stems from her disagreement with her ex-husband over the division of an escrow payment, and the sales price of certain furniture, associated with a home they sold during their divorce.  The customer is now blaming me because she believes the escrow allocation was unfair and her ex-husband did not properly credit her for the value of the furniture. In fact, as a written UBS business record verifies, I confirmed the escrow payoff payment with the customer by phone the day it was made. While she was not happy about the escrow allocation, she approved it so she could proceed with the sale. I am sympathetic to my client's distress during a difficult time in her life, but this complaint against me is unfair and untrue.\"]}}], \"examsCount\": {\"stateExamCount\": 1, \"principalExamCount\": 0, \"productExamCount\": 3}, \"stateExamCategory\": [{\"examCategory\": \"Series 66\", \"examName\": \"Uniform Combined State Law Examination\", \"examTakenDate\": \"12/1/2000\", \"examScope\": \"BOTH\"}], \"principalExamCategory\": [], \"productExamCategory\": [{\"examCategory\": \"SIE\", \"examName\": \"Securities Industry Essentials Examination\", \"examTakenDate\": \"10/1/2018\", \"examScope\": \"BC\"}, {\"examCategory\": \"Series 7\", \"examName\": \"General Securities Representative Examination\", \"examTakenDate\": \"10/18/2000\", \"examScope\": \"BC\"}, {\"examCategory\": \"Series 3\", \"examName\": \"National Commodity Futures Examination\", \"examTakenDate\": \"9/26/2000\", \"examScope\": \"BC\"}], \"registrationCount\": {\"approvedSRORegistrationCount\": 10, 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