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Brett Andrew Goldstein

Ubs Financial Services Inc.

Washington, DC

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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 2026-02-10
MD RA APPROVED 2024-03-08
VA RA APPROVED 2023-07-03
DC RA APPROVED 2015-08-19
  • TX RA
    APPROVED_RES
    Since 2026-02-10
  • MD RA
    APPROVED
    Since 2024-03-08
  • VA RA
    APPROVED
    Since 2023-07-03
  • DC RA
    APPROVED
    Since 2015-08-19

Branch Locations

1700 M Street Nw 5Th Floor, Washington, DC 20036 • 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. Washington DC 01/2015 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-08-10
S63 Uniform Securities Agent State Law Examination 2002-09-28
  • S65 Uniform Investment Adviser Law Examination
    2015-08-10
  • S63 Uniform Securities Agent State Law Examination
    2002-09-28
Other Names
  • Brett A Goldstein
  • Brett Goldstein

View on SEC IAPD

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Other Offices

BRYSPEN, INCORPORATED · WASHINGTON, DC
3WIRE INVESTMENT · WASHINGTON, DC
LPL FINANCIAL LLC · WASHINGTON, DC
ORIDIAN CAPITAL MANAGEMENT, L.P. · WASHINGTON, DC
C5 CAPITAL USA LLC · WASHINGTON, DC
AEB CAPITAL · WASHINGTON, DC
DOMINION FINANCIAL CONSULTANTS, LLC · WASHINGTON, DC
A.G.P. / ALLIANCE GLOBAL PARTNERS · Washington, DC

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