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Alfred Harvey

Ubs Financial Services Inc.

Chicago, IL

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2025-09-19
  • IL RA
    APPROVED
    Since 2025-09-19

Branch Locations

One North Wacker Drive Ste 3300, Chicago, IL 60606 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Seattle WA 12/1999 06/2024
Unemployed Gilbert AZ 06/2024 09/2025
Ubs Financial Services Inc. Chicago IL 09/2025 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-09-28
  • S66 Uniform Combined State Law Examination
    2005-09-28
Other Names
  • Alfred Eugene Harvey Jr.
  • Alfred Eugene Harvey
  • Alfred Jr. Eugene Harvey
  • Al Harvey
  • Alfred Eugene Harvey
  • Alfred E Harvey

View on SEC IAPD

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Other Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL
GUGGENHEIM INVESTMENTS · CHICAGO, IL
PEKIN HARDY STRAUSS, INC. · CHICAGO, IL
SPIDERROCK ADVISORS, LLC · CHICAGO, IL
PROSPECT PARTNERS ADVISORS LLC · CHICAGO, IL
DOYENNE WEALTH ADVISORS · CHICAGO, IL

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