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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2021-11-24 |
| TX | RA | APPROVED_RES | 2006-10-24 |
| FL | RA | APPROVED | 2005-05-31 |
| CT | RA | APPROVED | 1998-11-24 |
Branch Locations
525 Okeechobee Blvd Suite 1500, West Palm Beach, FL 33401 • United States
Denton, NC • United States
Wellington, FL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Palm Beach | FL | 06/1998 | Present |
NAME OF OTHER BUSINESS:W3 & Roth LLC / INVESTMENT RELATED?: Y/ ADDRESS: 6805 Catania Drive, FL / NATURE OF THE BUSINESS: Family LLC / POSITION: Member of a committee with management / supervisor functions / DUTIES:Can make distributions - funds are not intended to be invested in this entity - it is a pass through only / START DATE:3/5/2014/ HOURS DEVOTED TO BUSINESS: NA
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-09-18 |
| S63 | Uniform Securities Agent State Law Examination | 1998-09-14 |
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