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Nellie Harkins

Ubs Financial Services Inc.

New York, NY

New York, NY

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2023-06-23
CT RA APPROVED 2022-04-05
NY RA APPROVED 2022-02-15
  • NJ RA
    APPROVED
    Since 2023-06-23
  • CT RA
    APPROVED
    Since 2022-04-05
  • NY RA
    APPROVED
    Since 2022-02-15

Branch Locations

1285 Avenue Of The Americas 15Th Floor, New York, NY 10019 • United States

New York, NY • 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 Ag New York NY 07/2006 Present
Ubs International New York NY 07/2006 Present
Ubs Financial Services Inc. Weehawken NJ 01/2010 Present
  • 07/2006 → Present
    Ubs Ag
    New York, NY
  • 07/2006 → Present
    Ubs International
    New York, NY
  • 01/2010 → Present
    Ubs Financial Services Inc.
    Weehawken, NJ
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-02-15
S66 Uniform Combined State Law Examination 2001-11-14
  • S65 Uniform Investment Adviser Law Examination
    2022-02-15
  • S66 Uniform Combined State Law Examination
    2001-11-14
Other Names
  • Nellie Pattavina

View on SEC IAPD

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Other Offices

ISLET MANAGEMENT, LP · NEW YORK, NY
P2 CAPITAL PARTNERS, LLC · NEW YORK, NY
KINYAN CAPITAL MANAGEMENT LLC · NEW YORK, NY
BRIGHTSPIRE CAPITAL ADVISORS, LLC · NEW YORK, NY
ACORN ADVISORY CAPITAL, L.P. · NEW YORK, NY
COMPASS GROUP LLC · NEW YORK, NY
CRESTVIEW PARTNERS · NEW YORK, NY
LEEDS EQUITY PARTNERS · NEW YORK, NY

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