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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2022-02-22
NJ RA APPROVED 2020-11-06
  • TX RA
    APPROVED
    Since 2022-02-22
  • NJ RA
    APPROVED
    Since 2020-11-06

Branch Locations

109 North Avenue, Westfield, NJ 07090 • 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
Fidelity Brokerage Services Llc Millburn NJ 01/2006 11/2020
Fidelity Personal And Workplace Advisors Boston MA 07/2018 11/2020
Ubs Financial Services Inc. Westfield NJ 11/2020 Present
  • 01/2006 → 11/2020
    Fidelity Brokerage Services Llc
    Millburn, NJ
  • 07/2018 → 11/2020
    Fidelity Personal And Workplace Advisors
    Boston, MA
  • 11/2020 → Present
    Westfield, NJ
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-06-23
S63 Uniform Securities Agent State Law Examination 2000-08-04
  • S66 Uniform Combined State Law Examination
    2006-06-23
  • S63 Uniform Securities Agent State Law Examination
    2000-08-04

View on SEC IAPD

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