Ernie Walter Kloock

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2018-07-17
NJ	RA	APPROVED	2014-10-03

TX RA
APPROVED_RES

Since 2018-07-17
NJ RA
APPROVED

Since 2014-10-03

Branch Locations

61 South Paramus Road Mack Center Iv, Paramus, NJ 07652 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc.	Paramus	NJ	09/2014	Present

09/2014 → Present

Ubs Financial Services Inc.

Paramus, NJ

Previous Registrations

2009-10-23 → 2014-09-30

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Wayne, NJ

Paramus, NJ

Ridgewood, NJ
2004-10-20 → 2009-10-23

Banc Of America Investment Services, Inc.

Wayne, NJ

Oakland, NJ

Glen Rock, NJ

Ridgewood, NJ

Ridgewood, NJ
2002-11-21 → 2004-10-20

Quick & Reilly, Inc.

Clifton, NJ

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-11-02
S63	Uniform Securities Agent State Law Examination	1998-10-26

S65 Uniform Investment Adviser Law Examination

1998-11-02
S63 Uniform Securities Agent State Law Examination

1998-10-26