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Eric Todd Schwam

Ubs Financial Services Inc.

New York, NY

Weehawken, NJ

Marlboro, NJ

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-10-26
NJ RA APPROVED 2015-11-20
  • NY RA
    APPROVED
    Since 2021-10-26
  • NJ RA
    APPROVED
    Since 2015-11-20

Branch Locations

1285 Avenue Of The Americas, New York, NY 10019 • United States

1200 Harbor Boulevard, Weehawken, NJ 07086 • UNITED STATES

Marlboro, NJ • 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 New York NY 11/2015 Present
  • 11/2015 → Present
    Ubs
    New York, NY
Previous Registrations
  • 2009-06-01 → 2015-11-18
    Morgan Stanley
    New York, NY
    New York, NY
  • 2006-03-27 → 2009-06-01
    Morgan Stanley & Co. Llc
    New York, NY
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-04-15
S63 Uniform Securities Agent State Law Examination 1999-12-23
  • S65 Uniform Investment Adviser Law Examination
    2005-04-15
  • S63 Uniform Securities Agent State Law Examination
    1999-12-23

View on SEC IAPD

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