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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2012-08-24
TX RA APPROVED 2012-07-16
  • FL RA
    APPROVED
    Since 2012-08-24
  • TX RA
    APPROVED
    Since 2012-07-16

Branch Locations

712 South East Ocean Blvd. Ground Floor, Stuart, FL 34994 • 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
Ubs Financial Services, Inc. Stuart FL 07/2012 Present
Previous Registrations
  • 2009-06-01 → 2012-08-01
    Stuart, FL
    Stuart, FL
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Stuart, FL
  • 2003-08-07 → 2007-04-02
    Morgan Stanley Dw Inc.
    Stuart, FL
    Stuart, FL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-08-01
  • S66 Uniform Combined State Law Examination
    2003-08-01
Other Names
  • Greg Thogersen

View on SEC IAPD

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