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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2010-02-08
NH RA APPROVED 2006-10-20
  • TX RA
    APPROVED_RES
    Since 2010-02-08
  • NH RA
    APPROVED
    Since 2006-10-20

Branch Locations

11 S. Main Street Suite 300, Concord, NH 03301 • United States

Portsmouth, NH • United States

1155 Elm Street Suite 501, Manchester, NH 03101 • 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 Concord NH 10/2006 Present
Previous Registrations
  • 2005-10-12 → 2006-10-24
    A. G. Edwards & Sons, Inc.
    Concord, NH
    Concord, NH
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-10-11
S63 Uniform Securities Agent State Law Examination 2003-12-03
  • S66 Uniform Combined State Law Examination
    2005-10-11
  • S63 Uniform Securities Agent State Law Examination
    2003-12-03

View on SEC IAPD

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