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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2009-01-22
TX RA APPROVED 2009-01-15
  • OH RA
    APPROVED
    Since 2009-01-22
  • TX RA
    APPROVED
    Since 2009-01-15

Branch Locations

8044 Montgomery Road, Ste. 10 The Towers At Kenwood, Cincinnati, OH 45236 • 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 Cincinnati OH 01/2009 Present
Previous Registrations
Other Businesses

1) 52 WEEK LOW LLC / BROOKMERE PLACE MASON,OHIO 45040 / COMPANY/ OTHER MEDIA COMPANY / PROMOTE THE BOOK & PUBLISH ARTICLES RELATED TO BOOK'S EDUCATIONAL CONCEPTS / SOLE PROPRIETORSHIP / AUTHOR OF THE BOOK, BOOK INTERVIEWS / START DATE 1/14/2013. /// 2) Bruce Wayne Ventures/ Category- Company/ Principal Business Activity- This LLC will own a Rolls Royce Phantom vehicle and will be rented or donated for Weddings or for other special occasions. Bruce Wayne Ventures will be doing some outreach to inner city schools to provide inspiration and hope to them. So the company/vehicle is going to be used for both Charitable work (non-income producing outreach) as well as Transport (income producing via weddings, etc.)./ Role -Proprietor / owner/ Duty- How much to pay for the Rolls-Royce; ongoing approval to donate or rent the use of the vehicle. Comp- Yes /// 3) The Bruce Wayne Legacy I, LLC; Bayside Ct, Mason, OH 45040; Company; Real Estate; Rental property; Proprietor / owner; I will be collecting rent from the ice cream business that operates on the property.; Start date: 11/18/2024 /// 4) The Bruce Wayne Legacy II, LLC; Bayside Ct. Mason, OH; Company; Food, Beverages & Tobacco; seasonal ice cream soft serve ice cream business; Proprietor / owner; Review cash inflow and cash outflow on a monthly basis within the account; start date: 11/18/2024

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1997-09-26
  • S66 Uniform Combined State Law Examination
    1997-09-26
Other Names
  • Luke L Wiley

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