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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2008-03-24 |
| NC | RA | APPROVED | 2001-12-31 |
Branch Locations
6100 Fairview Road 9Th Floor, Charlotte, NC 28211 • United States
The Office On The Park 6337 Morrison Boulevard, Charlotte, NC 28211 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Charlotte | NC | 08/2000 | Present |
1) Name of Business: Jane's Fund./ Address; 1118 Bolling Rd Charlotte NC United States 28207./ Investment Related: No./ Nature: To support children with cancer and their families./ Role: Member of Board of directors./ Duty: Reporting the financial condition of the non-profit to the board periodically./ Start Date: 12/1/2021./ Time Required; N/A.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-10-27 |
| S63 | Uniform Securities Agent State Law Examination | 1998-09-03 |
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