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Denise I Kowalewski

Ubs Financial Services Inc.

Providence, RI

Hope Valley, RI

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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 2024-01-24
RI RA APPROVED 2012-05-25
  • TX RA
    APPROVED_RES
    Since 2024-01-24
  • RI RA
    APPROVED
    Since 2012-05-25

Branch Locations

500 Exchange Street Suite 1210, Providence, RI 02903 • United States

Hope Valley, RI • 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. Providence RI 04/2012 Present
Previous Registrations
  • 2009-10-23 → 2012-04-26
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Providence, RI
    Middletown, RI
    Providence, RI
    Providence, RI
    Providence, RI
  • 2007-10-05 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Middletown, RI
    Providence, RI
    Providence, RI
  • 2007-04-02 → 2007-10-08
    Morgan Stanley & Co. Llc
    Mystic, CT
  • 1998-03-18 → 2007-04-02
    Morgan Stanley Dw Inc.
    Mystic, CT
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-12-09
S63 Uniform Securities Agent State Law Examination 1997-12-05
  • S65 Uniform Investment Adviser Law Examination
    1997-12-09
  • S63 Uniform Securities Agent State Law Examination
    1997-12-05
Other Names
  • Denise Irene Desmarais
  • Denise Irene Kowalewski

View on SEC IAPD

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