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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2012-03-12
TX RA APPROVED_RES 2012-03-07
  • FL RA
    APPROVED
    Since 2012-03-12
  • TX RA
    APPROVED_RES
    Since 2012-03-07

Branch Locations

Lake Mary, FL • United States

201 N. New York Avenue 3Rd Floor, Winter Park, FL 32789 • United States

201 N. New York Avenue 3Rd Floor, Winter Park, FL 32789 • 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. Orlando FL 03/2012 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-01-12
  • S66 Uniform Combined State Law Examination
    2000-01-12

View on SEC IAPD

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