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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2014-10-08
  • TN RA
    APPROVED
    Since 2014-10-08

Branch Locations

Lincoln Harbor 1000 & 1200 Lincoln Harbor Blvd, Weehawken, NJ 07086 • United States

3102 West End Avenue Suite 500, Nashville, TN 37203-6017 • United States

800 South Gay Street Suite 2600, Knoxville, TN 37929 • United States

608 Mabry Hood Road Suite 200, Knoxville, TN 37932 • United States

214 East Mountcastle Drive, Johnson City, TN 37601 • United States

800 South Gay Street Suite 2600, Knoxville, TN 37929 • 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 Alpharetta GA 06/2007 Present
Other Businesses

Homeowners Association / United States / 1614 Westland Lakes Way, Knoxville, TN 37922 / Association (e.g. Trade or Industry, Sport) / Treasurer / Pay bill obligations of the HOA / Start Date 4/1/2020

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1999-09-22
  • S66 Uniform Combined State Law Examination
    1999-09-22

View on SEC IAPD

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