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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-10-26 |
| NJ | RA | APPROVED | 2018-03-13 |
| CT | RA | APPROVED | 2015-05-21 |
| CA | RA | APPROVED | 2006-04-21 |
Branch Locations
400 Linden Oaks, Rochester, NY 14625 • United States
250 Delaware Avenue, Buffalo, NY 14202 • United States
201 West 3Rd Street Suite 200, Jamestown, NY 14701 • United States
8 Southwoods Blvd Suite 207, Albany, NY 12211 • United States
One Broad Street Plaza 2Nd Floor, Glens Falls, NY 12801 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Westport | CT | 05/2015 | 02/2020 |
| Ubs Financial Services Inc. | Buffalo | NY | 03/2020 | Present |
KENNETH CORREA IRREVOCABLE TRUST / ELMHURST, NEW YORK /QUEENS 11373 / TRUST / OTHER NOT APPLICABLE / PERSONAL TRUST / IS THIS AN INDUSTRY SECTOR ORGANIZATION? N/A / TRUSTEE / TRUSTEE / WILL YOU HAVE AUTHORITY TO MAKE INVESTMENT DECISIONS ON BEHALF OF THE COMPANY? NO/ START DATE 11/18/2010.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-12-16 |
| S63 | Uniform Securities Agent State Law Examination | 2002-03-19 |
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