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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
OK RA APPROVED 2004-05-12
TX RA APPROVED 2002-09-03
  • OK RA
    APPROVED
    Since 2004-05-12
  • TX RA
    APPROVED
    Since 2002-09-03

Branch Locations

100 Crescent Court Suite 400, Dallas, TX 75201 • 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. Plano TX 06/2002 Present
Other Businesses

1) Name of Business: Cotton Bowl Athletic Association./ Address: AT&T Stadium One AT&T Arlington TexasUnited States 76011./ Investment Related: No./ Nature; Guidance and hosting the Cotton Bowl game as part of the New years 6 college football games./ Role: Member of Board of directors./ Duty: 3 Annual meetings , guidance and leadership around the football game and also to be a good host for the teams each year that participate./ Start Date: 2/1/2024./ Time Require: N/A. 2) TCA Foundation, The TCA Foundation, under the leadership of its Board of Directors, is a non-profit corporation separate from TCA and its Board of Trustees. The primary role of the foundation is to oversee the management of all TCAF funds raised including the TCA Foundation Endowment and to raise funds to further the mission of TCA, Member of Board of directors, To help with the strategy around raising funds for Student Tuition Aid and for Facilities for the School. In addition as part of the Investment Committee for the Foundation to help give guidance as part of that committee for the foundation on how to best steward the funds in the Endowment, start date-7/1/2023.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-08-22
  • S66 Uniform Combined State Law Examination
    2002-08-22

View on SEC IAPD

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