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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2022-07-20
TX RA APPROVED_RES 2008-12-22
ME RA APPROVED 2007-02-09
  • FL RA
    APPROVED
    Since 2022-07-20
  • TX RA
    APPROVED_RES
    Since 2008-12-22
  • ME RA
    APPROVED
    Since 2007-02-09

Branch Locations

One City Center 10Th Floor, Portland, ME 04101 • United States

Winter Garden, FL • United States

Saco, ME • 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
OrganizationCityStateFromTo
Mcdonald Investments Inc. Portland ME 05/2002 Present
Ubs Financial Services Inc. Portland ME 02/2007 Present
Previous Registrations
  • 2003-10-02 → 2007-02-09
    Keybanc Capital Markets Inc.
    Portland, ME
    Portland, ME
Other Businesses

CITY OF SACO RSU23 WITHDRAWAL COMMITTEE / 300 MAIN STREET SACO,MAINE 04072 / AD-HOC WITHDRAWAL COMMITTEE/ TO DEVELOP A PLAN FOR THE CITY OF SACO TO WITHDRAW FROM REGIONAL SCHOOL UNIT 23 / MEMBER OF A BOARD COMMITTEE WITH MANAGEMENT OR SUPERVISORY FUNCTIONS / TO DEVELOP A PLAN FOR THE CITY OF SACO TO WITHDRAW FROM REGIONAL SCHOOL UNIT 23 / START DATE 08/28/2012.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-10-01
  • S66 Uniform Combined State Law Examination
    2003-10-01

View on SEC IAPD

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