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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-10-26
TX RA APPROVED_RES 2009-06-15
  • NY RA
    APPROVED
    Since 2021-10-26
  • TX RA
    APPROVED_RES
    Since 2009-06-15

Branch Locations

8 Essex Center Drive 2Nd Floor, Peabody, MA 01960 • United States

400 Linden Oaks, Rochester, NY 14625 • 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 Rochester NY 02/2009 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-08-31
S63 Uniform Securities Agent State Law Examination 1998-05-14
  • S65 Uniform Investment Adviser Law Examination
    1998-08-31
  • S63 Uniform Securities Agent State Law Examination
    1998-05-14
Designations

View on SEC IAPD

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