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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
OK RA APPROVED 2006-08-22
IL RA APPROVED 2006-08-18
MO RA APPROVED 2006-08-18
TX RA APPROVED 2006-08-18
  • OK RA
    APPROVED
    Since 2006-08-22
  • IL RA
    APPROVED
    Since 2006-08-18
  • MO RA
    APPROVED
    Since 2006-08-18
  • TX RA
    APPROVED
    Since 2006-08-18

Branch Locations

100 Crescent Court Suite 600, Dallas, TX 75201 • 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. Dallas TX 08/2006 Present
Previous Registrations
  • 1999-12-17 → 2006-08-22
    Morgan Keegan & Company, Llc
    Dallas, TX
    Dallas, TX
Other Businesses

Hurley Family Foundation / 3816 Bowser Ave, Unit B Dallas,TX 75219 / Foundation/ Other Philanthropy / Giving out money / Officer / / I'll be running the foundation / Start Date 1/1/16 / Hurley Family Foundation / 6233 Velasco Ave Dallas,TX 75214 / Foundation/ Other Philanthropy / Giving out money / Officer / / I'll be running the foundation / Start Date 1/1/2016 / Aid to Gospa's / 312 Lakewick Lane Willowick,OH 44095 / Foundation/ Other Philanthropic / Foundation providing philanthropic support to orphans. / Executive director / To be on the board / 9/9/2016 /

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1999-12-15
  • S66 Uniform Combined State Law Examination
    1999-12-15

View on SEC IAPD

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