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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2015-12-02
TX RA APPROVED 2015-12-02
  • NJ RA
    APPROVED
    Since 2015-12-02
  • TX RA
    APPROVED
    Since 2015-12-02

Branch Locations

One Post Office Square, Boston, MA 02109 • United States

Hopkinton, MA • 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 Boston MA 12/2015 Present
Previous Registrations
  • 2007-10-08 → 2015-12-18
    Credit Suisse Securities (Usa) Llc
    Boston, MA
    Boston, MA
Other Businesses

Dress For Success Boston / 989 Commonwealth Ave Boston,MA 02215 / Other/ Charities, Cultural, Educational & Political Organisations / Provide Business Attire and Job Skills to Women / Member of Board of Directors / / General Board Duties, Finance Committee / Start Date 4/2/12 Charity /

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-10-05
S63 Uniform Securities Agent State Law Examination 1999-06-03
  • S65 Uniform Investment Adviser Law Examination
    2007-10-05
  • S63 Uniform Securities Agent State Law Examination
    1999-06-03
Other Names
  • Mitchell James Riesenberger

View on SEC IAPD

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