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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2016-10-10
  • FL RA
    APPROVED
    Since 2016-10-10

Branch Locations

Independent Square One Independent Dr. Suite 1700, Jacksonville, FL 32202 • United States

Jacksonville, FL • 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 Jacksonville FL 10/2002 09/2016
Ubs Financial Services, Inc. Jacksonville FL 09/2016 Present
Previous Registrations
Other Businesses

Iglesia de Dios Pentecostal MI 120 / United States / 5671 Beach Blvd / Jacksonville / FL / USA / 32202 / / No / Other / Church / Other / Religious / Church / Active / Other / Treasurer / Treasurer - Balance Checkbook, Collect the offering, Account Payable / 6 / No / No / No / No / 2/6/18 / / No / / No / / No / No Yes / Jacksonville, FL / No / / No / / Volunteer / No / # # I*28739_x000D_ FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION_x000D_ NAME OF OUTSIDE BUSINESS ORGANIZATION: DIAZ TRANSPORT ENTERPRISES INC_x000D_ INVESTMENT RELATED: N_x000D_ ADDRESS OF BUSINESS:_x000D_ JACKSONVILLE, FLORIDA 32225_x000D_ NATURE OF BUSINESS: S-CORP,_x000D_ POSITION, TITLE, ASSOCIATION: OWNER, _x000D_ START DATE OF RELATIONSHIP: 0001-01-01_x000D_ NUMBER OF HOURS DEVOTED: 10 HOUR(S) MONTHLY_x000D_ NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0_x000D_ DUTIES: PDT_x000D_ _x000D_ Diaz Transport Enterprise Inc / 989 Monument Rd Apt 311 Jacksonville,FL 32225 / Other/ Other trucking / Trucking / Owner Operator / Sole proprietorship / / Administration / Start Date 05/27/2008/ S Corporation /

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-09-12
  • S66 Uniform Combined State Law Examination
    2011-09-12

View on SEC IAPD

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