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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2009-08-18 |
| NC | RA | APPROVED | 2009-04-28 |
Branch Locations
6100 Fairview Road 9Th Floor, Charlotte, NC 28211 • United States
Concord, NC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Charlotte | NC | 04/2009 | Present |
MALLARD CREEK PRESBYTERIAN CHURCH / 1600 W MALLARD CREEK CHURCH RD CHARLOTTE,NC 28262 / MEMBER OF A COMMITTEE REPRESENTING THE INTERESTS OF ANY THIRD PARTY/PARTIES WITH A RELATIONSHIP WITH THE ORGANIZATION (I.E. CREDITOR'S COMMITTEE) / / REVIEW FINANCIAL STATEMENTS, HELP ADVISE CHURCH ON HOW TO SPEND MONEY / START DATE 5/1/2014
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-07-28 |
| S63 | Uniform Securities Agent State Law Examination | 1998-02-18 |
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