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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2011-06-07
  • FL RA
    APPROVED
    Since 2011-06-07

Branch Locations

101 East Kennedy Boulevard, Suite 1800, Tampa, FL 33602 • United States

Lutz, 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 Tampa FL 10/2006 Present
Other Businesses

1) FINANCIAL PEACE UNIVERSITY / 5800 NORTH CHURCH AVE TAMPA,FLORIDA 33607 / NO/ PRIVATELY HELD / USD / NO / NO / / 10/31/15 / 2) HOA Minor Oaks Manor Oaks HOA / United States/ No / Association (e.g. Trade or Industry, Sport) / Start Date 5/6/2019/ 33549 No / No 3) Hispanic Chamber of Commerce / investment related?:no/ PO Box 20933 Tampa Florida, Florida, United States/ Executive director/ Advocate for Spanish local business in our community. A contact person for local business and the chamber itself./ start date: 1/29/2019

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-02-03
  • S66 Uniform Combined State Law Examination
    2011-02-03
Other Names
  • Aishica O Lugo
  • Aishica O Hugo
  • Aishica O Lugo
  • Aishka O Lugo

View on SEC IAPD

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