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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 2010-09-17
NJ RA APPROVED 2010-05-31
  • TX RA
    APPROVED_RES
    Since 2010-09-17
  • NJ RA
    APPROVED
    Since 2010-05-31

Branch Locations

109 North Avenue, Westfield, NJ 07090 • United States

Basking Ridge, NJ • 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 Westfield NJ 04/2010 Present
Previous Registrations
Other Businesses

CONESCO INDUSRIES, LTD. 214 GATES RD. LITTLE FERRY, NJ 07642 2. SUPPLIER OF CONCRETE FORM WORK MATERIALS 3. DIRECTOR 4. ATTENDANCE OF BOARD MEETINS. SEMI ANNUAL 5. 8-10 HOURS PER YEAR 6. YES

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-07-21
S63 Uniform Securities Agent State Law Examination 1999-10-27
  • S65 Uniform Investment Adviser Law Examination
    2000-07-21
  • S63 Uniform Securities Agent State Law Examination
    1999-10-27
Other Names
  • Ann K Trainor

View on SEC IAPD

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