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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2009-01-27
TX RA APPROVED 2009-01-15
  • FL RA
    APPROVED
    Since 2009-01-27
  • TX RA
    APPROVED
    Since 2009-01-15

Branch Locations

201 N. New York Avenue 3Rd Floor, Winter Park, FL 32789 • 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 Orlando FL 01/2009 Present
Previous Registrations
  • 2007-04-02 → 2009-01-20
    Morgan Stanley & Co. Llc
    Winter Park, FL
  • 2002-01-22 → 2007-04-02
    Morgan Stanley Dw Inc.
    Winter Park, FL
    Winter Park, FL
Other Businesses

Sol Blazers Lacrosse / 6033 lady Bet Dr Orlando,Florida 32819 / Association (e.g. Trade or Industry, Sport)/ Sport & Leisure Facilities / To promote girls lacrosse across Central Florida / Member of Board of directors / Help lead the organization in growing girls lacrosse. / Start Date 11/1/2018 /

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-01-31
  • S66 Uniform Combined State Law Examination
    2002-01-31
Designations

View on SEC IAPD

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