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Janet Marie Goglia

Ubs Financial Services Inc.

Providence, RI

Providence, RI

Smithfield, RI

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
RI RA APPROVED 2004-10-20
  • RI RA
    APPROVED
    Since 2004-10-20

Branch Locations

500 Exchange Street Suite 1210, Providence, RI 02903 • United States

One Citizens Plaza Suite 900, Providence, RI 02903 • United States

Smithfield, RI • 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
Ubs Financial Services Inc. Providence RI 09/1999 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-10-15
S63 Uniform Securities Agent State Law Examination 2004-10-06
  • S65 Uniform Investment Adviser Law Examination
    2004-10-15
  • S63 Uniform Securities Agent State Law Examination
    2004-10-06

View on SEC IAPD

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WASHINGTON TRUST ADVISORS · Providence, RI
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