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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 2020-12-07
MI RA APPROVED 2011-09-12
  • TX RA
    APPROVED_RES
    Since 2020-12-07
  • MI RA
    APPROVED
    Since 2011-09-12

Branch Locations

325 North Old Woodward Ave Suite 200, Birmingham, MI 48009 • United States

Bloomfield Hills, MI • 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. Plymouth MI 08/2011 Present
Previous Registrations
  • 2009-10-23 → 2011-08-22
    Rochester Hills, MI
    Auburn Hills, MI
    Farmington Hills, MI
  • 2008-10-24 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Rochester Hills, MI
  • 2006-11-02 → 2008-10-24
    Lasalle Financial Services, Inc.
    Rochester Hills, MI
    Chicago, IL
    Bloomfield Hills, MI
    Bloomfield Hills, MI
    Rochester, MI
    Rochester Hills, MI
    Rochester, MI
    Chicago, IL
Other Businesses

Colberry Hills Civic Association / 2750 Bridle RoadBloomfield HillsMichigan48304 / Planning and coordinating social events for the subdivision. Answering any questions that the residents may have. Working with other board members to plan and coordinate events. / Subdivision Social Organization - Planning and coordinating social events for the subdivision. Answering any questions that the residents may have. Working with other board members to plan and coordinate events. / Subdivision Board President. Planning and Coordination of social events in the subdivision. / President of the Board. Planning and coordinating social events for the subdivision. Answering any questions that the residents may have. Working with other board members to plan and coordinate events. / 5/12/2022

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-10-27
S63 Uniform Securities Agent State Law Examination 1998-04-28
  • S65 Uniform Investment Adviser Law Examination
    1998-10-27
  • S63 Uniform Securities Agent State Law Examination
    1998-04-28

View on SEC IAPD

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