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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2010-05-24 |
| TN | RA | APPROVED | 2004-01-27 |
Branch Locations
214 East Mountcastle Drive Suite 1-A, Johnson City, TN 37601 • United States
214 East Mountcastle Drive, Johnson City, TN 37601 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Johnson City | TN | 08/2000 | Present |
Ballad Health Foundation (formerly Mountain States Foundation), Washington Couny Location / 2335 Knob Creek Rd., Suite 101 Johnson City, Tennessee 37604 / Foundation/ Health Care & Pharmaceuticals / The Foundation raises money thru community activities such as a golf tournament, spirit gala, off broadway show, radiothon and then uses the money to support different areas in the hospital system that are not supported by the operating budget of the hosp / Other / Member of Washington County committee that determines where funds raised are allocated / we have no management or supervisory functions / Start Date 07/23/2015 / 1 hour every two months First Christian Church200 Mountcastle Dr.Johnson City, TN 37601, Religion, I sit on the finance committee, committee member, start date-2/13/2008.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-07 |
| S63 | Uniform Securities Agent State Law Examination | 1998-07-08 |
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