Claudel Demosthene

Ubs Financial Services Inc.

Philadelphia, PA

Philadelphia, PA

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Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
PA	RA	APPROVED	2018-11-21

PA RA
APPROVED

Since 2018-11-21

Branch Locations

1735 Market Street 44Th Floor, Philadelphia, PA 19103 • United States

1735 Market Street, 44Th Floor Mellon Bank Ctr., Philadelphia, PA 19103 • 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

Organization	City	State	From	To
Capital One Investing Llc	Wilmington	DE	08/2016	11/2018
Ubs Financial Services, Inc.	Philadelphia	PA	11/2018	Present

08/2016 → 11/2018

Capital One Investing Llc

Wilmington, DE
11/2018 → Present

Ubs Financial Services, Inc.

Philadelphia, PA

Previous Registrations

2016-12-06 → 2018-11-12

Capital One Advisors, Llc

Wilmington, DE

Mclean, VA
2016-05-10 → 2016-08-19

Morgan Stanley

Mount Laurel, NJ
2012-04-12 → 2016-01-04

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Philadelphia, PA

Wayne, PA
2004-04-14 → 2012-01-03

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Philadelphia, PA

Plainsboro, NJ

Plainsboro, NJ

New York, NY

Pennington, NJ

Pennington, NJ

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2000-10-09

S66 Uniform Combined State Law Examination

2000-10-09

View on SEC IAPD

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