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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2023-07-03
TX RA APPROVED_RES 2022-06-06
DC RA APPROVED 2009-02-23
  • MD RA
    APPROVED
    Since 2023-07-03
  • TX RA
    APPROVED_RES
    Since 2022-06-06
  • DC RA
    APPROVED
    Since 2009-02-23

Branch Locations

1700 M Street Nm 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 02/2009 Present
Previous Registrations
  • 2003-07-01 → 2009-02-17
    Columbia, MD
    Columbia, MD
    Washington, DC
  • 2001-08-14 → 2003-07-01
    Prudential Equity Group, Llc
    Columbia, MD
Other Businesses

BOARD MEMBER OF THE PATUXENT RIVER COMMISSION 2)Name Of Business: Village of River Hill Community Association/Investment Related: No/Address:6020 Daybreak Circle,Clarksville, MD 21029/Nature Of Business: RHCA is a HOA. The mission of the Association is to promote the health, safety, common good and social welfare of the owners of property in, and the residents of, the Village of River Hill. The board fields questions and requests from the citizens in the community and potential homeowners. The board appoints members to the architectural committee/Position: Member of Board of directors/Duties: As a member of the Board for the Village of River Hill, in-person (or virtual) meetings are held once a month. The board reviews matters having to do with compliance of covenants for property owners in the Village of River Hill, for instance approving or denying alterations to improvements and scheduling events to promote the well being of the community./ Start Date: 8/12/2021/ Hours devoted: No. 3) Rental Property - 7014 Redmiles Road, Laurel, MD 20723, Residential real estate investment property with tenant for rent. Received rents of approximately $ during CY 2019, Proprietor / owner, Delegate property management to Tracey Bruening, start date-4/30/2008.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-07-13
S63 Uniform Securities Agent State Law Examination 1997-02-21
  • S65 Uniform Investment Adviser Law Examination
    1998-07-13
  • S63 Uniform Securities Agent State Law Examination
    1997-02-21

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