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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

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

Branch Locations

Delray Beach, FL • United States

4225 Ponce De Leon Blvd Suite 600, Coral Gables, FL 33146 • 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 International Inc New York NY 01/2002 Present
Ubs Ag New York NY 07/2001 Present
Ubs Financial Services Inc. Weehawken NJ 01/2010 Present
  • 01/2002 → Present
    Ubs International Inc
    New York, NY
  • 07/2001 → Present
    Ubs Ag
    New York, NY
  • 01/2010 → Present
    Weehawken, NJ
Previous Registrations
  • 2004-06-11 → 2010-01-01
    Ubs International Inc.
    New York, NY
    New York, NY
Other Businesses

Shyam Sundar Das Charitable Foundation / United States / PO box 240781 / HI / Honolulu / United States / 96824 / Not established - its in progress / No / Charity / / Charity / / -Education for unprivileged kids (lowest casts) in India- The intention is to build schools that teaches English and many subjects in the language and technologies to these communities that only speak hindi and have no access to major cities and schools where learning these fundamental skills will determine their future survival. -Support ashrams in small villages in India that provides shelter, food, health and hope for very poor families who lives in the communities / Active / Member of Board of directors / / I have been invited to be the CFO for the entity. The foundation is in process to be approved, but I want to seek a review from compliance prior to commit to any role. / 08 / No / No / No / No / Start Date 10/01/2018/ / No / / No / / No / No No / Rajasthan India / No / / Yes / / In simple words, my only motivation would be offering my personal time and skills to be of service to a great cause which is helping the needed, my spiritual growth, extending my caring and devotion beyond the ones close to me "drawing my circle bigger than my family, friends, clients etc). I am passionate about the cause as well as many others. I have visited Shyam Sundar Das in December. I was impressed and deeply moved with the work he does in the poor community/villages close to his ashrams. Some friends go together, started the process of incorporating the foundation which is still taking place (the non profit part takes a little longer), and they have extended the invitation to a few people to be part of the board, myself included once its fully approved as a non profit-- I understand the process is almost finalized and by October it should be up and running. There is no personal interest other than being of service. No compensation of any kind involved, neither time taken from my work duties, other than personal one. I will be happy to accept any other function to help to follow UBS policies, or would just help it without any participation on it, should UBS finds it more appropriate. They trust my ethical behavior to be the one in charge of their finances, and I feel more comfortable knowing what is happening other than having someone else doing it when I have my personal and professional reputation at risk . No one is taking a pay to do that, and its very possible we would be the ones to start the donations for a while. / No /

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-06-26
  • S66 Uniform Combined State Law Examination
    2001-06-26

View on SEC IAPD

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