Daniel J Kent

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2021-07-07

NJ RA
APPROVED

Since 2021-07-07

Branch Locations

1200 Harbor Boulevard, Weehawken, NJ 07086 • UNITED STATES

1000 Harbor Blvd, Weehawken, NJ 07086 • United States

Collingswood, NJ • 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 Yes
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Blue Bell	PA	06/1999	06/2021
Ubs	Weehawken	NJ	06/2021	Present

06/1999 → 06/2021

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Blue Bell, PA
06/2021 → Present

Ubs

Weehawken, NJ

Previous Registrations

2004-03-10 → 2021-06-24

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Wayne, PA

Marlton, NJ

Mount Laurel, NJ

Blue Bell, PA

Wilmington, DE

Egg Harbor Township, NJ

Mount Laurel, NJ

Egg Harbor Township, NJ

Mount Laurel, NJ

York, PA

Philadelphia, PA

Media, PA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2003-12-02

S66 Uniform Combined State Law Examination

2003-12-02

Other Names

Dan Kent

View on SEC IAPD