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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2011-05-16 |
Branch Locations
8 Essex Center Drive 2Nd Floor, Peabody, MA 01960 • United States
Two Market Square, Marblehead, MA 01945 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Marblehead | MA | 09/1999 | Present |
ON A REFERRAL BASIS WITH CARLSON REAL ESTATE. I JUST GIVE A CUSTOMERS NAME TO A SALES ASSOC. AND THEY PAY A REFERRAL FEE. NO WORK IS INVOLVED. Marblehead Museum and Historical Society / United States / 170 Washington St, Marblehead, MA / Historical Society / I will be in charge of the committee which consists of about 5 people. We decide on what to buy and sell within the accounts held by the society / We will have 3-4 meetings a year to decide on what to buy and sell for the accounts. As the head I set up the meetings and if there are any changes I will call into Vanguard or UBS to make the trades. / Start Date 1/1/2020
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-28 |
| S63 | Uniform Securities Agent State Law Examination | 1999-12-21 |
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