Best Investors Account Sign in
Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
RI RA APPROVED 2023-05-30
NJ RA APPROVED 2015-11-16
TX RA APPROVED 2015-11-16
  • RI RA
    APPROVED
    Since 2023-05-30
  • NJ RA
    APPROVED
    Since 2015-11-16
  • TX RA
    APPROVED
    Since 2015-11-16

Branch Locations

One Post Office Square 35Th Floor, Boston, MA 02109 • United States

Narragansett, RI • United States

Wellesley, MA • 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 Boston MA 11/2015 Present
Previous Registrations
  • 2008-08-27 → 2015-12-16
    Credit Suisse Securities (Usa) Llc
    Boston, MA
    Boston, MA
Other Businesses

MIT Sloan Boston Alumni Association / 139A Charles Street, #346 Boston,MA 02114 / Other/ Education / ?Promote continuing personal and professional development / Member of Board of Directors / / Oversee functions of board; Chair the annual MIT CFO Summit / Start Date 09/01/2004/ Business School Local Alumni Board / Coaching4Change / 75 Amory Street, 3rd floor Boston,MA 02119 / Other/ Education / Coaching4Change blends coach education, literacy, and leadership to empower and employ teenagers / Member of Board of Directors / / Advise the organization / Start Date 01/01/2014/ Non-Profit / MIT Sloan Alumni Association of Boston / 139A Charles Street, #346 Boston, Massachusetts 02114 / United States / Charity / Education / www.mitsloanboston.com / I am on the board of directors of the MIT Sloan Boston Alumni Association. Each year we host a CFO Summit and UBS is a sponsor. I am seeking approval to once again place a UBS ad in the program. A copy of the ad is attached. We received approval to do this in 2016, 2017, and 2018. The approval number for 2018 is CORC0075476. All the parameters are the same. The request has the support of the Boston PWM Market Head and MSO. / Member of Board of directors / / Oversee functions of board; Chair the annual MIT CFO Summit / Start Date 9/1/2004 /

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-11-13
S66 Uniform Combined State Law Examination 2003-10-20
  • S65 Uniform Investment Adviser Law Examination
    2008-11-13
  • S66 Uniform Combined State Law Examination
    2003-10-20

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Boston, MA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor