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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2010-09-17
NJ RA APPROVED 2010-05-31
  • TX RA
    APPROVED_RES
    Since 2010-09-17
  • NJ RA
    APPROVED
    Since 2010-05-31

Branch Locations

Lincoln Harbor 1000 & 1200 Lincoln Harbor Blvd, Weehawken, NJ 07086 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc Westfield NJ 04/2010 Present
Previous Registrations
Other Businesses

TALENTWARCH.NET / MUSIC INDUSTRY WEBSITE / LA JOLLA PARKWAY SAN DIEGO , CALIFORNIA / VOLUNTEER HOST OF MUSIC / PRIVATELY HELD / START DATE 05/17/2011/ 3 HOURS PER MONTH. 2)LITTLE KIDS ROCK / BLOOMFIELD AVENUE VERONA,NJ 07044 / OTHER/ EDUCATION / BRING MUSIC PROGRAMS TO CLASSROOMS THAT CANT AFFORD IT / OTHER / NEW YORK ADVISORY BOARD / EVENT COMMITTEE / START DATE 10/25/2012 3)WESTFIELD BOARD OF EDUCATION, NEW JERSY 09090 / ONE OF 9 MEMBERS OF BOE- ATTEND MEETINGS- VOTE ON ISSUES OF THE DAY- / START DATE 8/25/2014

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1988-01-27
  • S63 Uniform Securities Agent State Law Examination
    1988-01-27
Other Names
  • Mitchell P Slater

View on SEC IAPD

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