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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
OK RA APPROVED 2003-06-04
CA RA APPROVED 1997-07-08
TX RA APPROVED_RES 1993-03-23
  • OK RA
    APPROVED
    Since 2003-06-04
  • CA RA
    APPROVED
    Since 1997-07-08
  • TX RA
    APPROVED_RES
    Since 1993-03-23

Branch Locations

2 Belvedere Place Suite 220, Mill Valley, CA 94941 • 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. San Francisco CA 08/1989 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-10-01
S63 Uniform Securities Agent State Law Examination 1989-09-13
  • S65 Uniform Investment Adviser Law Examination
    1996-10-01
  • S63 Uniform Securities Agent State Law Examination
    1989-09-13
Other Names
  • Alex Taft

View on SEC IAPD

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