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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 2019-01-09
NH RA APPROVED 2013-11-04
  • TX RA
    APPROVED_RES
    Since 2019-01-09
  • NH RA
    APPROVED
    Since 2013-11-04

Branch Locations

11 S. Main Street Suite 300, Concord, NH 03301 • 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. Concord NH 10/2013 Present
Previous Registrations
  • 2007-10-12 → 2013-11-11
    Manchester, NH
    Concord, NH
  • 2002-04-01 → 2007-10-17
    A. G. Edwards & Sons, Inc.
    Concord, NH
    Concord, NH
Other Businesses

8.33% OWNERSHIP - THE ALGONQUIN CLUB, RT 16, ERROL, NEW HAMPSHIRE. THE TYPE OF BUSINESS: PRIVATE OWNED MEMBER ONLY FISHING CLUB. DUTIES: KEEPING THE CAMP CLEAN WHEN I VISIT. WORKS 1/2 HR PER MONTH AND 0 DURING TRADING HOURS. HOPKINTON N.H. SCHOOL DISTRICT SETTING GUIDELINES FOR SCHOOL POLICY. PARTICIPATING IN THE NEGOCIATIONS OF TEACHERS CONTRACTS. REVIEW THE BUDGET ON A QUATERLY BASIS. WORKS 2HRS PER WK, NONE DURING TRADING HRS. Hopkinton N.H. School District / Contoocook United States,New Hampshire www.hopkintonschools.org / No/ 3/31/2012 To ensure that the direction of our local schools is going in a direction that both benefits the town and the schools. / No / Member of a board committee with management or supervisory functions / / Overseeing the direction of our school district / Start Date Elected No / No / State Date 03/31/2012 / End Date 03/31/2018 Hopkinton Public School District / 204 Maple St. Hopkinton, N.H.,N.H. 03229 / Educational Establishment/ Education / Board Member / Member of Board of directors / / Voting on the best direction for the public school system / Start Date 5/30/2019. Hopkinton Public Schools Foundation / 204 Maple St. Contoocook,N.H. 03229 / Foundation/ Education / Fundraising for Public School needs that are not covered by the tax base of our town / Member of Board of directors / Fundraising for the organization. Helping to determine appropriate school projects to fund / Start Date 6/1/2019 / Kearsarge Energy, Ste. 3900 Boston MAUnited States-02135, Leasing land to a solar company. (Kearsarge Energy) This is not a done deal yet. The company has agreed to pay me while they decide if the project is feasible. I can not sell the land during this time. And the time has just 6 months left, Utilities (Electricity, Gas Distribution, Water), Producing Electricity through Solar Panels, I am HOPING to lease the company land, start date-12/1/2024.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-03-30
S63 Uniform Securities Agent State Law Examination 1999-10-15
  • S66 Uniform Combined State Law Examination
    2002-03-30
  • S63 Uniform Securities Agent State Law Examination
    1999-10-15
Other Names
  • William Davis Chapin

View on SEC IAPD

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