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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2010-06-03 |
| FL | RA | APPROVED | 2009-04-09 |
Branch Locations
401 East Las Olas Boulevard Las Olas Centre, Ft. Lauderdale, FL 33301 • United States
Plantation, FL • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Ft. Lauderdale | FL | 03/2009 | Present |
1) Name of Business: Lago Mar Colony./ Address: 500 NW 127th Ave. PlantationFlorida United States 33325./ Investment Related: No./ Nature: Board member with possibility of becoming treasurer./ Role: Member of Board of directors./ Duty: Recently elected to board of HOA . Possibility of an eventual move into role as Treasure. There is currently a money market with Vanguard but I have No authority over investments. Potential Co signatory approval for checks in the future if accept Treasurer position./ Start Date: 5/12/2023./ Hours Devoted: No./Time Required: N/A.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-07-24 |
| S63 | Uniform Securities Agent State Law Examination | 1997-02-26 |
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