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Philippe David Baumann

Ubs Financial Services Inc.

New York, NY

Canaan, NY

Syosset, NY

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2023-11-07
NY RA APPROVED 2021-10-26
NJ RA APPROVED 2010-01-01
  • FL RA
    APPROVED
    Since 2023-11-07
  • NY RA
    APPROVED
    Since 2021-10-26
  • NJ RA
    APPROVED
    Since 2010-01-01

Branch Locations

1285 Avenue Of The Americas 15Th Floor, New York, NY 10019 • United States

Canaan, NY • United States

Syosset, NY • 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 Ag New York NY 06/1995 Present
Ubs International Inc. New York NY 01/2002 Present
Ubs Financial Services Inc. Weehawken NJ 01/2010 Present
  • 06/1995 → Present
    Ubs Ag
    New York, NY
  • 01/2002 → Present
    Ubs International Inc.
    New York, NY
  • 01/2010 → Present
    Ubs Financial Services Inc.
    Weehawken, NJ
Previous Registrations
  • 2004-06-11 → 2010-01-01
    Ubs International Inc.
    New York, NY
    New York, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-02-02
  • S66 Uniform Combined State Law Examination
    2001-02-02

View on SEC IAPD

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