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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 2018-05-10
RI RA APPROVED 2016-06-22
  • TX RA
    APPROVED_RES
    Since 2018-05-10
  • RI RA
    APPROVED
    Since 2016-06-22

Branch Locations

500 Exchange Street Suite 1210, Providence, RI 02903 • United States

Barrington, RI • 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 Providence RI 05/2016 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-11-07
S63 Uniform Securities Agent State Law Examination 1988-10-27
  • S66 Uniform Combined State Law Examination
    2007-11-07
  • S63 Uniform Securities Agent State Law Examination
    1988-10-27

View on SEC IAPD

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