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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 1998-10-21
  • WA RA
    APPROVED
    Since 1998-10-21

Branch Locations

225 108Th Avenue Ne Suite 800, Bellevue, WA 98004 • 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. Seattle WA 05/1998 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-07-31
S63 Uniform Securities Agent State Law Examination 1998-07-24
  • S65 Uniform Investment Adviser Law Examination
    1998-07-31
  • S63 Uniform Securities Agent State Law Examination
    1998-07-24

View on SEC IAPD

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