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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2014-08-11
TX RA APPROVED 2014-08-11
  • CT RA
    APPROVED
    Since 2014-08-11
  • TX RA
    APPROVED
    Since 2014-08-11

Branch Locations

One Post Office Square 35Th Floor, Boston, MA 02109 • United States

Chilmark, MA • 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. Boston MA 08/2014 Present
Previous Registrations
  • 2009-01-21 → 2014-09-05
    Barclays Capital Inc.
    Boston, MA
  • 2008-03-25 → 2008-10-15
    Lehman Brothers Inc.
    New York, NY
    Boston, MA
    Boston, MA
Other Businesses

TOP, INC.; 401 E. Las Olas Blvd, Suite 130-665, Fort Lauderdale, FL 33301; Big Data Analysis; Advisor or advisory group member if advice given may influence an officer/board; Advise; 1/1/2019; Business hours per month: No // CARRIAGE HOUSE BROOK, LLC; 55 Carriage House Ln, Wrentham, MA 02093; Owns Investment Property; Partner; Serve as a partner to my wife; 2/11/2013; Business hours per month: No // MENUD CO.; 7338 NW Miami Ct, Miami, FL 33150; Health and Wellness; Member of Board of directors; Business Consulting/Not Fundraising; 1/1/2018; Business hours per month: No // SW1, LLC; 115 Central Park West, Apt. 3F, New York, NY 10023; Private Investments; Partner; 6/17/2015; Business hours per month: No // CARRIAGE HOUSE BROOK II, LLC; 55 Carriage House Ln, Wrentham, MA 02093; Investment Property; Partner; help manage with my wife; 5/14/2015; Business hours per month: No 2) UMass Amherst Endowment and Foundation, AmherstmaUS-01003, Foundation, Education, Fundraising, Treasurer, Help oversee growth plans, start date-1/1/2017 Tea Lane Real-estate, renting y primary home, home owner cleaning, Start date-7/26/2021, ChilmarkMAUnited States-02535.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-03-24
S63 Uniform Securities Agent State Law Examination 1999-12-06
  • S66 Uniform Combined State Law Examination
    2008-03-24
  • S63 Uniform Securities Agent State Law Examination
    1999-12-06
Other Names
  • Matthew Orman Littlefield

View on SEC IAPD

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