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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2008-03-24 |
| WA | RA | APPROVED | 2003-12-18 |
Branch Locations
225 108Th Avenue Ne Suite 800, Bellevue, WA 98004 • United States
925 Fourth Avenue 31St & 32Nd Floor, Seattle, WA 98104 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Seattle | WA | 11/2003 | Present |
1)CFA SEATTLE SOCIETY / SEATTLE CHAPTER SEATTLE,WA 98101 / CFA REPRESENTATIVE/ PRIVATELY HELD / ENCOURAGE BUSINESS STUDENTS TO GET EDUCATED AND SIGN UP FOR THE CFA / START DATE 11/18/2013 / Seattle Bond Club / 11400 SE 8th St Suite 270 Bellevue,Washington 98004 / Other/ Other It's a social club / We meet for lunch 2-3 times a month, we have a golf tournament and a Holiday Party / Officer / / I schedule the lunches/activities / Start Date 4/1/2019/ Social Club for Friends in the Industry / ISB / 401 Terry Ave N, Seattle, WA 98109 Seattle,Washington 98109 / Charity/ Health Care & Pharmaceuticals / Help with Fund Raising / Member of Board of directors / / Help fund raise and bring awareness to the scientific work they are doing at ISB / Start Date 4/3/2019 / Marne Paintings, 404 Ave D / United States/ No / Other / Start Date 6/8/19/ No / No
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-01-15 |
| S63 | Uniform Securities Agent State Law Examination | 1994-02-03 |
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