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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2016-06-28 |
| ID | RA | APPROVED | 2016-06-27 |
| CA | RA | APPROVED | 2015-09-30 |
Branch Locations
555 California Street 32Nd Floor/ Suite 3200, San Francisco, CA 94104 • United States
Corona Del Mar, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Newport Beach | CA | 09/2015 | Present |
1) Trust and Will, San Diego California United States-92101, www.trustandwill.com, Company , Services (Business, Professional, Support), Trust and Will is an online service providing digital legal forms and information.Board of Directors Observer (non voting)UBS Next is our venture fund that invested money in Trust and Will. There is a Board Observer role open and I was requested to serve. It is to provide strategic advice as they scale up to grow.Start date- 7/22/2024,To broaden services needed in our industry. 2) Securities Industry Financial Markets Association, Help with the curriculum, content and educational priorities for industry participants for the securities industry institute week long program at Wharton, start date-1/29/2024
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-03-11 |
| S63 | Uniform Securities Agent State Law Examination | 1988-07-29 |
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