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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 2013-05-24
OH RA APPROVED 2007-02-09
  • TX RA
    APPROVED_RES
    Since 2013-05-24
  • OH RA
    APPROVED
    Since 2007-02-09

Branch Locations

2055 Crocker Road, Westlake, OH 44145 • 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 Westlake OH 11/2013 Present
Previous Registrations
  • 1999-10-15 → 2007-02-09
    Keybanc Capital Markets Inc.
    Elyria, OH
    Elyria, OH
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-03-01
S63 Uniform Securities Agent State Law Examination 1997-11-14
  • S65 Uniform Investment Adviser Law Examination
    2000-03-01
  • S63 Uniform Securities Agent State Law Examination
    1997-11-14

View on SEC IAPD

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