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Bruce Alfred Neal

Ubs Financial Services Inc.

Sunny Isles, FL

Washington, DC

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2023-07-03
DC RA APPROVED 2008-10-09
FL RA APPROVED 1988-09-26
  • MD RA
    APPROVED
    Since 2023-07-03
  • DC RA
    APPROVED
    Since 2008-10-09
  • FL RA
    APPROVED
    Since 1988-09-26

Branch Locations

Sunny Isles, FL • United States

1700 M Street Nm 5Th Floor, Washington, DC 20036 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc Washington DC 11/2013 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1991-07-03
S63 Uniform Securities Agent State Law Examination 1988-09-01
  • S65 Uniform Investment Adviser Law Examination
    1991-07-03
  • S63 Uniform Securities Agent State Law Examination
    1988-09-01
Other Names
  • Bruce A Neal

View on SEC IAPD

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