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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-11-27
WI RA APPROVED 2024-11-12
SC RA APPROVED 2024-04-12
TX RA APPROVED_RES 2017-09-05
NC RA APPROVED 2015-09-30
  • CA RA
    APPROVED
    Since 2024-11-27
  • WI RA
    APPROVED
    Since 2024-11-12
  • SC RA
    APPROVED
    Since 2024-04-12
  • TX RA
    APPROVED_RES
    Since 2017-09-05
  • NC RA
    APPROVED
    Since 2015-09-30

Branch Locations

317 W. Barbee Chapel Road, Chapel Hill, NC 27517 • 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. Chapel Hill NC 09/2015 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-10-02
S63 Uniform Securities Agent State Law Examination 2001-03-20
  • S66 Uniform Combined State Law Examination
    2008-10-02
  • S63 Uniform Securities Agent State Law Examination
    2001-03-20
Other Names
  • Stephen Reed

View on SEC IAPD

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