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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2009-03-06
TX RA APPROVED 2009-02-27
  • GA RA
    APPROVED
    Since 2009-03-06
  • TX RA
    APPROVED
    Since 2009-02-27

Branch Locations

600 Northpark Town Center 1200 Abernathy Road Suite 1850, Atlanta, GA 30328 • United States

Marietta, GA • 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 Atlanta GA 02/2009 Present
Previous Registrations
  • 2007-04-02 → 2009-03-02
    Morgan Stanley & Co. Llc
    Atlanta, GA
  • 2002-12-13 → 2007-04-02
    Morgan Stanley Dw Inc.
    Atlanta, GA
    Atlanta, GA
Other Businesses

1) Estate of D. K., Atlanta GAUnited States-30309, Trust, client is deceased and will distribute assets per instructions of will, Executor, I will follow the instructions of the will, start date-9/13/2024.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-11-12
S63 Uniform Securities Agent State Law Examination 1989-01-24
  • S65 Uniform Investment Adviser Law Examination
    1992-11-12
  • S63 Uniform Securities Agent State Law Examination
    1989-01-24

View on SEC IAPD

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