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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2022-07-01
TX RA APPROVED 2022-07-01
  • CO RA
    APPROVED
    Since 2022-07-01
  • TX RA
    APPROVED
    Since 2022-07-01

Branch Locations

4600 S. Ulster Street -Suite 700 Metro Point One, Denver, CO 80237 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Greenwood Village CO 02/2020 07/2022
Parchment Tutorials/The Potter's School Highlands Ranch CO 08/2012 05/2020
Belhaven University Jackson MS 08/2018 Present
Bank Of America, N.A. Greenwood Village CO 05/2021 07/2022
Ubs Financial Services Inc Denver CO 06/2022 Present
Previous Registrations
Other Businesses

I*130182 For profit or not for profit: Non-Profit Organization Name of outside business organization: Belhaven University Investment related: N Address of business: 1500 Peachtree St. Jackson, Mississippi 39202 Nature of business: Charitable Organization, Position, title, association: Part-Time, Start date of relationship: 8/1/2018 Number of hours devoted: 8 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Instructor of English, Dept of Adult and Online Studies NAME OF OTHER BUSINESS: Douglas County Libraries Foundation / INVESTMENT RELATED?: N/ ADDRESS:100 S. Wilcox St.,Castle Rock, CO/ NATURE OF THE BUSINESS: Raising funds and sponsoring events for Douglas County Libraries / POSITION:/ DUTIES: Networking with local business, individuals, and non-profits to raise awareness of library programs, supporting the foundation's fundraising efforts./ START DATE: 4/3/2023 / HOURS DEVOTED TO BUSINESS: NA

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-12-22
  • S66 Uniform Combined State Law Examination
    2020-12-22
Other Names
  • Louise M Wood
  • Louise Marie Henne
  • Louise Henne
  • Louise Marie Wood

View on SEC IAPD

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