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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-10-26
TX RA APPROVED_RES 2008-12-17
  • NY RA
    APPROVED
    Since 2021-10-26
  • TX RA
    APPROVED_RES
    Since 2008-12-17

Branch Locations

Pound Ridge, NY • United States

299 Park Avenue 8Th, 9Th, & 11Th Floors, New York, NY 10171 • 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 New York NY 11/2008 Present
Previous Registrations
  • 2007-04-02 → 2008-11-20
    Morgan Stanley & Co. Llc
    New York, NY
  • 2002-12-13 → 2007-04-02
    Morgan Stanley Dw Inc.
    New York, NY
    New York, NY
Other Businesses

1)ILIMPIA / 225 EAST 63RD STREET PH E NEW YORK, NEW YORK 10065 / PARTNERSHIP / OTHER CLEANER / MANUFACTURER AND SALE OF PRODUCT / IS THIS AN INDUSTRY SECTOR ORGANIZATION? N/A / PARTNER / ADVISOR / WILL YOU HAVE AUTHORITY TO MAKE INVESTMENT DECISIONS ON BEHALF OF THE COMPANY? NO / START DATE 10/01/2008. 2)HYROGLIF / 225 EAST 63RD STREET NEW YORK, NY 10065 / SOLE PROPRIETORSHIP / INFORMATION TECHNOLOGY / MOBILE ADVERTISING PLATFORM / SOLE PROPRIETORSHIP / MY IDEA - I WILL PROVIDE INPUT / START DATE 07/23/2012. 3)MORAD BEEKMAN COOP / 420 EAST 51ST STREET NEW YORK,NEW YORK 10022 / REAL ESTATE / BOARD MEMBER / MEMBER OF BOARD OF DIRECTORS / / ADVISE ON BUILDING MATTERS / START DATE 1/1/2015 4) Co-Executor of Thomas Berner's Estate / 299 Park New York,NY 10171 / No/ 43100 Privately Held / USD / No / No / / Start Date 01/03/2017 / 5) G2 225 E 63rd Street PH E NY NY 10065/ Role - Advisor - retail product/ Comp - No

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-08-12
S63 Uniform Securities Agent State Law Examination 1988-09-29
  • S65 Uniform Investment Adviser Law Examination
    1994-08-12
  • S63 Uniform Securities Agent State Law Examination
    1988-09-29

View on SEC IAPD

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