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Shawn W Rivers

Ubs Financial Services Inc.

Peabody, MA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2023-11-27
  • NJ RA
    APPROVED
    Since 2023-11-27

Branch Locations

8 Essex Center Drive 2Nd Floor, Peabody, MA 01960 • 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
Malden Redevelopment Authority Malden MA 02/2013 01/2018
Morgan Stanley Boston MA 01/2018 09/2022
Ubs Financial Services Peabody MA 09/2022 Present
  • 02/2013 → 01/2018
    Malden Redevelopment Authority
    Malden, MA
  • 01/2018 → 09/2022
    Morgan Stanley
    Boston, MA
  • 09/2022 → Present
    Ubs Financial Services
    Peabody, MA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-11-22
S63 Uniform Securities Agent State Law Examination 2001-02-26
  • S66 Uniform Combined State Law Examination
    2023-11-22
  • S63 Uniform Securities Agent State Law Examination
    2001-02-26
Other Names
  • Shawn William Rivers
  • Shawn Rivers

View on SEC IAPD

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FINANCIAL TRANSPARENCY · Peabody, MA
BROTCHIE CAPITAL MANAGEMENT, LLC · PEABODY, MA
AMERIPRISE FINANCIAL SERVICES, LLC · Peabody, MA
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