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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2023-01-20
NY RA APPROVED 2021-10-26
FL RA APPROVED 2011-04-29
TX RA APPROVED 2004-10-19
  • NJ RA
    APPROVED
    Since 2023-01-20
  • NY RA
    APPROVED
    Since 2021-10-26
  • FL RA
    APPROVED
    Since 2011-04-29
  • TX RA
    APPROVED
    Since 2004-10-19

Branch Locations

299 Park Avenue 8Th, 9Th, & 11Th Floors, New York, NY 10171 • United States

Miami Beach, FL • 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 York NY 07/1999 Present
Other Businesses

1) Name of Business: Liquid Lifetime Collection LLC./ Address: 6899 Collins Avenue, N1502 Miami Beach FLUnited States 33141./ Investment related: Yes./ Nature: Personal holding company for asset protection./ Role: Authorized Member./ Duty: Authorized to manage and control the entity./ Start Date: 10/3/2023./ Time required: N/A.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-10-26
S63 Uniform Securities Agent State Law Examination 1999-10-12
  • S65 Uniform Investment Adviser Law Examination
    1999-10-26
  • S63 Uniform Securities Agent State Law Examination
    1999-10-12

View on SEC IAPD

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