Best Investors Account Sign in
Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2011-12-16
LA RA APPROVED 2011-11-28
  • TX RA
    APPROVED_RES
    Since 2011-12-16
  • LA RA
    APPROVED
    Since 2011-11-28

Branch Locations

909 Poydras Street Suite 2900, New Orleans, LA 70112 • 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 New Orleans LA 10/2011 Present
Previous Registrations
  • 2004-11-24 → 2011-10-31
    Morgan Keegan & Company, Llc
    Mandeville, LA
    Mandeville, LA
    Metarie, LA
Other Businesses

1) Northshore Camellia Club / 16423 Summerhill Dr. Covington,Louisiana 70435 / Other/ Agriculture & Livestock / Hold an annual camellia show, educate others to the propagation, care, and planting of camellias / Officer / / Currently Vice- President - Past President - Hold 9 meetings each camellia season/ Start Date 6/1/15 /// 2) General Society of Colonial Wars, Hanover PAUnited States-17331, Charity, "501c3 - Preservation of records, manuscripts, historical documents, and providing education of our country's Colonial Period and its History, "Patriotic Organization - Preservation and Education regarding the Colonial Period 1607-1775, honoring those that served in the military", Officer, "Currently Vice-President. Will become President of the Louisiana Society on 5/17/2025 serving for three years. This is relative to the efforts of preservation of and education of the history during the Colonial Period in the US.", start date-3/15/2024. 4) Louisiana Society of Colonial Wars, New OrleansLA United States-70130, Charity,"501c3 - Preservation of records, manuscripts, historical documents, and providing education of our country's Colonial Period and its History", "Patriotic Organization - Preservation and Education regarding the Colonial Period 1607-1775, honoring those that served in the military", Officer, "President as of 5/18/2025 serving for three years. This is relative to the efforts of preservation of and education of the history during the Colonial Period in the US.", start date-5/18/2025.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-10-18
  • S66 Uniform Combined State Law Examination
    2000-10-18

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in New Orleans, LA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor