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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2012-04-03
IL RA APPROVED 2012-02-24
  • TX RA
    APPROVED_RES
    Since 2012-04-03
  • IL RA
    APPROVED
    Since 2012-02-24

Branch Locations

5 Revere Drive 1 Northbrook Place, Northbrook, IL 60062 • 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 Northbrook IL 02/2012 Present
Previous Registrations
Other Businesses

1) B'Nai Jehoshua Congregation / United States / 1201 Lake Cook Rd, / Deerfield / Illinois / United States / 60015 / http://www.bjbe.org/ / No / Other / Religious Organization - B'Nai Jehoshua Congregation / Other / Religious organization / Religious Organization / Active / Member of a committee with management / supervisor functions / / Member of the endowment investment committee - I will be a part of the group who will advise on asset allocation of the funds in BJBE endowment / 15 / No / No / No / No / Start Date 01/29/2018 / End Date 01/29/2021 / No / / No / / No / No No / Deerfield Illinois USA / No / / No / / I am a member of my congregation for ten years. My experience and knowledge can help endowment to reach goals of my community. / No / 2) B'Nai Jehoshua Congregation/ 1201 Lake Cook Rd/Deerfield/Illinois 60015/ United Stares/http://www.bjbe.org// Other Religious Organization - B'Nai Jehoshua Congregation / Member of the endowment investment committee - I will be a part of the group who will advise on asset allocation and direct investment trading, re-balancing of the investment funds in BJBE endowment account. / Member of a committee with management / supervisor functions / Authority to make investment decisions: Yes/ Start Date 1/29/2018 3)Addus HomeCare,caregivers provide quality in-home supportive services so you can remain in your home, comfortably and confidently.,IllinoisUnited States,I will provide caregiving quality in-home supportive services only to my Mother so you she can remain in home, comfortably.Start date -3/23/2026

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-09-18
S63 Uniform Securities Agent State Law Examination 1997-11-14
  • S65 Uniform Investment Adviser Law Examination
    1998-09-18
  • S63 Uniform Securities Agent State Law Examination
    1997-11-14

View on SEC IAPD

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