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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2016-07-19
IA RA APPROVED 2013-10-11
  • TX RA
    APPROVED_RES
    Since 2016-07-19
  • IA RA
    APPROVED
    Since 2013-10-11

Branch Locations

1075 Jordan Creek Parkway Suite 100, West Des Moines, IA 50266 • 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. West Des Moines IA 08/2013 Present
Other Businesses

Putnam / Investment Related - Yes /100 Federal StreetBoston / Investment Management Company / Financial (Consumer & Investment Services) / I have no role with this organization. See my additional comments below. I have been asked to participate in 4 virtual meetings. Nothing else / Start Date: 2/1/2022

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-10-11
  • S66 Uniform Combined State Law Examination
    2013-10-11

View on SEC IAPD

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