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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2002-09-23 |
| IL | RA | APPROVED | 1998-05-14 |
Branch Locations
One North Wacker Drive Ste 3300, Chicago, IL 60606 • United States
Evanston, IL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Chicago | IL | 01/1998 | Present |
HARDIN MANOR, LLC., SUGAR GROVE, IL 60554. YES, INVESTMENT RELATED. BUSINESS - REAL ESTATE DEVELOPMENT. TITLE - MEMBER OF THE LLC. START DATE - 06/30/2004. 10 HOURS/MONTH. DUTIES - DESIGN INPUT, FINANCIAL DECISIONS,OCCASSIONAL MEETING WITH CITY OF EVANSTON. 2)Options Industry Council FA Advisory Council / 1 N. Wacker Drive Chicago,IL 60606 / Association (i.e., Trade or Industry, Sport...)/ Financial (Consumer & Investment Services) / To increase the awareness, knowledge and responsible use of exchange-listed equity options among a global audience of investors-including individuals, financial advisors and institutional managers-by providing independent, unbiased education and practical / Advisor or member of an advisory committee, if the advice given will or may influence the board or other senior management or supervisory board of the organization in question / / To help educate financial advisor community on proper us e of listed options / Start Date 6/2/14 / approx 2 hours per month
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-04-17 |
| S63 | Uniform Securities Agent State Law Examination | 1998-04-09 |
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