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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2001-08-28
  • TX RA
    APPROVED_RES
    Since 2001-08-28

Branch Locations

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

Plymouth, MA • United States

1099 Hingham Street, Rockland, MA 02370 • 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. Boston MA 06/1998 Present
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1998-09-09
S65 Uniform Investment Adviser Law Examination 1998-09-04
  • S63 Uniform Securities Agent State Law Examination
    1998-09-09
  • S65 Uniform Investment Adviser Law Examination
    1998-09-04

View on SEC IAPD

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