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

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
DC RA APPROVED 2022-09-30
MD RA APPROVED 2022-09-26
TX RA APPROVED 2022-09-26
VA RA APPROVED 2022-09-26
  • DC RA
    APPROVED
    Since 2022-09-30
  • MD RA
    APPROVED
    Since 2022-09-26
  • TX RA
    APPROVED
    Since 2022-09-26
  • VA RA
    APPROVED
    Since 2022-09-26

Branch Locations

951 East Byrd Street, Richmond, VA 23219 • 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 : 7691 Washington DC 11/2006 09/2022
Bank Of America, Na Washington DC 12/2009 09/2022
Ubs Washington DC 09/2022 Present
  • 11/2006 → 09/2022
    Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691
    Washington, DC
  • 12/2009 → 09/2022
    Bank Of America, Na
    Washington, DC
  • 09/2022 → Present
    Ubs
    Washington, DC
Previous Registrations
Other Businesses

I*709242 For profit or not for profit: Entity Governmental Name of outside business organization: Willow Oaks Country Club Investment related: Y Address of business: Richmond, Virginia, 23225 Nature of business: ["Business or Industry Organization"] Position, title, association: ["Committee"], [["Investment committee"]] Start date of relationship: 2/4/2022 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 1 Duties: , I will be a member of the investment committee. Our goal is to select a financial advisor to manage the club's fund to grow capital which is not needed in the short term. We are also to select a dollar amount as a committee on how much we want to invest initially and on an ongoing basis. I will not be selecting investment manager or specific investment. The board and finance committee final say on choose of advisor and investment amounts. We are also to supervise, monitor and evaluate the investments based upon the clubs objectives JG LLC NON INVESTMENT RELATED .25% OWNER 09/01/2006 0 HOURS DEVOTED A MONTH 0 HOURS DEVOTED DURING TRADING HOURS I OWN .25% OF A FAMILY OWNED LLC THAT INVESTS IN ONE COMMERICAL BUILDING IN WHITE PLAINS, MD. Saint Mary's Ryken High School, Leonardtown United States20650, Educational Establishment, Catholic High School, Member of Board of directors, member of the board of directors and sit on the finance and investment committee, start date-5/1/2025. J and P.G. Irrevocable Life Insurance Trust, Trusttee for my parents life insurance trust, Start date-3/23/2012, Maryland United States-20645

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-03-07
  • S66 Uniform Combined State Law Examination
    2007-03-07

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Richmond, VA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor