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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NH RA APPROVED 2025-08-12
TX RA APPROVED_RES 2021-08-23
CA RA APPROVED 2010-01-01
FL RA APPROVED 2010-01-01
  • NH RA
    APPROVED
    Since 2025-08-12
  • TX RA
    APPROVED_RES
    Since 2021-08-23
  • CA RA
    APPROVED
    Since 2010-01-01
  • FL RA
    APPROVED
    Since 2010-01-01

Branch Locations

Sanbornton, NH • United States

4225 Ponce De Leon Blvd Suite 600, Coral Gables, FL 33146 • United States

Disclosures

2 disclosure categories 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 Yes
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. Coral Gables FL 01/2010 Present
Previous Registrations
  • 2006-01-27 → 2010-01-01
    Ubs International Inc.
    Coral Gables, FL
    San Diego, CA
  • 2003-07-01 → 2006-01-30
    Miami, FL
  • 2000-12-22 → 2003-07-01
    Prudential Equity Group, Llc
    Miami, FL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-08-01
S63 Uniform Securities Agent State Law Examination 1996-12-30
  • S66 Uniform Combined State Law Examination
    2025-08-01
  • S63 Uniform Securities Agent State Law Examination
    1996-12-30

View on SEC IAPD

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