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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 1999-05-20
  • TX RA
    APPROVED
    Since 1999-05-20

Branch Locations

4400 Post Oak Parkway Suite 1700, Houston, TX 77027 • United States

Houston, TX • 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 Houston TX 06/2015 Present
Other Businesses

1) Hearthstone Women's Golf Association / 7615 Ameswood Road Houston,Texas 77095 / Association (e.g. Trade or Industry, Sport)/ Sport & Leisure Facilities / ladies golf association / Member of Board of directors / Secretary for Board / Start Date 1/1/2019 /

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-02-23
S63 Uniform Securities Agent State Law Examination 1999-05-18
  • S65 Uniform Investment Adviser Law Examination
    2001-02-23
  • S63 Uniform Securities Agent State Law Examination
    1999-05-18
Other Names
  • Cherrie Suzanne Cliffe

View on SEC IAPD

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