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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2023-06-06 |
| TX | RA | APPROVED_RES | 1995-11-15 |
| FL | RA | APPROVED | 1988-10-26 |
Branch Locations
311 Park Place Boulevard Suite 650, Clearwater, FL 33759 • United States
18167 Us 19 North Suite 200, Clearwater, FL 33764 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Clearwater | FL | 07/1988 | Present |
Name of Organization- breeding and racing thourobred horses; Category- Sole proprietorship; Principal Business Activity-we breed thoroughbred horses for the purpose of racing them; Role - Proprietor / owner; Duty-breed horses for the purpose of racing; Compensation - No
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-11-07 |
| S63 | Uniform Securities Agent State Law Examination | 1988-10-26 |
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