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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2010-01-25 |
| OH | RA | APPROVED | 2007-10-04 |
Branch Locations
3601 Rigby Road Suite 500, Miamisburg, OH 45342 • United States
Waynesville, OH • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Rochester | MI | 06/2004 | Present |
Big Brothers Big Sisters Miami Valley United States / 22 S. Jefferson St. OH / www.bbbsmiamivalley.org/ Charity / Charity / Other / Start Date 6/5/2019 No No / 2) NAME OF OTHER BUSINESS: University of Dayton/ INVESTMENT RELATED?: NA / ADDRESS: 300 College Park Dr.,Dayton, Ohio/ NATURE OF THE BUSINESS: Teaching part of Financial Strategies for Successful Retirement course/ POSITION:/ DUTIES:Teaching portion of Financial Strategies for Successful Retirement course / START DATE: 2/27/2023/ HOURS DEVOTED TO BUSINESS: NA
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2026-01-17 |
| S66 | Uniform Combined State Law Examination | 2004-07-01 |
| S63 | Uniform Securities Agent State Law Examination | 1993-04-30 |
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