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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2023-07-19
NJ RA APPROVED 2013-10-08
  • NY RA
    APPROVED
    Since 2023-07-19
  • NJ RA
    APPROVED
    Since 2013-10-08

Branch Locations

Yonkers, NY • United States

109 North Avenue, Westfield, NJ 07090 • 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. New York NY 08/1998 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-10-03
S63 Uniform Securities Agent State Law Examination 1997-08-19
  • S65 Uniform Investment Adviser Law Examination
    2013-10-03
  • S63 Uniform Securities Agent State Law Examination
    1997-08-19

View on SEC IAPD

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