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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2005-11-21
OK RA APPROVED 2005-08-10
OH RA APPROVED 2003-07-31
  • TX RA
    APPROVED
    Since 2005-11-21
  • OK RA
    APPROVED
    Since 2005-08-10
  • OH RA
    APPROVED
    Since 2003-07-31

Branch Locations

3601 Rigby Road Suite 500, Miamisburg, OH 45342 • United States

One Fifth Third Center 110 N. Main Street, Ste. 1600, Dayton, OH 45402 • United States

Centerville, OH • 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. Dayton OH 08/2000 Present
Other Businesses

1) FINANCIAL STRATEGIES FOR SUCCESSFUL RETIREMENT / EDUCATIONAL COURSE / UNIVERSITY OF DAYTON, 300 COLLEGE PARK DAYTON , OH 45469 / INSTRUCTOR / NON PROFIT / START DATE 01/01/2012 / 4 HRS /// 2) JoyRide / 1934 Nutt Road Centerville,OH 45458 / Other/ Charities, Cultural, Educational & Political Organisations / Car club for children with differing abilities / Member of Board of Directors / Managing and maintaining non-profit organization / Start Date 12/28/2016 / Non-Profit /// 3)MONO United States,1350 Lagoon Ave, Suite 1000 MN / mono-1.com/ Other Featured in a commercial and paid for my services. / Other / Other / Start Date 5/17/2019

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-02-13
S63 Uniform Securities Agent State Law Examination 2003-12-17
  • S65 Uniform Investment Adviser Law Examination
    2004-02-13
  • S63 Uniform Securities Agent State Law Examination
    2003-12-17

View on SEC IAPD

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