Matthew L Marques

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
WI	RA	APPROVED	2024-04-16
CT	RA	APPROVED	2023-11-17
TX	RA	APPROVED	2023-11-17

WI RA
APPROVED

Since 2024-04-16
CT RA
APPROVED

Since 2023-11-17
TX RA
APPROVED

Since 2023-11-17

Branch Locations

Wallingford, CT • United States

One State Street Suite 1600, Hartford, CT 06103 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Hartford	CT	03/2006	11/2023
Bank Of America, N.A.	Hartford	CT	07/2011	11/2023
Ubs Financial Services	Hartford	CT	11/2023	Present

03/2006 → 11/2023

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Hartford, CT
07/2011 → 11/2023

Bank Of America, N.A.

Hartford, CT
11/2023 → Present

Ubs Financial Services

Hartford, CT

Previous Registrations

2007-01-10 → 2023-11-21

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Hartford, CT

Other Businesses

I*1022299, Name of OBA: Rental Property 1 Address: Glastonbury, CT Investment Related: No Position, Title, Association: Sole owner Employee Start Date: 11/1/2022 No Hours: 5 Yearly No Hours during trading: 0 Duties: Castle Door Properties LLC, Manages rental real estate, collects rents, Proprietor / owner, start date-2/1/2011, Durham ConnecticutUnited States-06422.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-01-09

S66 Uniform Combined State Law Examination

2007-01-09

Other Names

Matthew Lopes Marques

View on SEC IAPD