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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2014-02-12
OH RA APPROVED 2011-06-10
  • TX RA
    APPROVED_RES
    Since 2014-02-12
  • OH RA
    APPROVED
    Since 2011-06-10

Branch Locations

18500 Lake Road Suite 400, Rocky River, OH 44116 • 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 Rocky River OH 06/2011 Present
Previous Registrations
  • 2009-03-13 → 2011-06-16
    Westlake, OH
  • 2005-02-28 → 2009-03-13
    Ferris, Baker Watts, Llc
    Cleveland, OH
    Cleveland, OH
  • 2003-04-02 → 2005-03-01
    Keybanc Capital Markets Inc.
    Cleveland, OH
Other Businesses

MURMAN PROPERTIES, LLC / 100 CHAMPIONS WAY PERRY,GA 31069 / PARTNERSHIP/ REAL ESTATE / INVESTING IN REAL ESTATE / PARTNER / LOOKING AT PROPERTIES TO INVEST / START DATE 7/1/2005. 2)Diabetes Partnership of Cleveland / 3601 S Green R Beachwood,Ohio 44122 / Other/ Charities, Cultural, Educational & Political Organisations / Help people with Diabetes / Member of Board of Directors / / As a board member, I advise the director and staff regarding long term strategic planning for serving people with diabetes in our community. / Start Date Non-profit /1/1/16 3) Collaborative to End Human Trafficking / 24600 Center Ridge Road Rocky River,Ohio 44116 / Charity/ Charity / Collaborate with hospitals, hotels, law enforcement to prevent human trafficking. / Member of Board of directors / / Board member, Development Committee / Start Date 10/1/2018 /

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-02-22
  • S66 Uniform Combined State Law Examination
    2002-02-22

View on SEC IAPD

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