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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2016-10-27
CT RA APPROVED 2014-09-02
  • TX RA
    APPROVED_RES
    Since 2016-10-27
  • CT RA
    APPROVED
    Since 2014-09-02

Branch Locations

55 William Street, Wellesley, MA 02481 • 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
Fidelity Brokerage Services Llc Marlborough MA 07/2004 Present
Ubs Financial Services Inc. Wellesley MA 08/2014 Present
Previous Registrations
Other Businesses

Town of Ashland, MA, Finance Committee / Ashland United States,Massachusetts www.ashlandmass.com / No/ Adam Shuster, Town Moderator The Finance Committee is the authorizing body for expenditures from the Reserve Fund, which are designated funds within the budget set aside for extraordinary and/or unforeseen expenditures, including deficits in snow and ice operations. / No / Advisor or member of an advisory committee, if the advice given will or may influence an officer or board of a governmental entity / / Attend meetings, review proposals before the committee, debate merits of proposals and assist in drafting the committee's written findings / Start Date 8/1/2016/Appointed No / No 2) Sigma Phi Epsilon/Address: 310 Aurthr Ashe Blvd, Richmond, VA/Nature of Business: Massachusetts Alpha (UMASS Amherst) Alumni Chapter Counselor/ Position: Advisor or advisory group member if advice given may influence an officer/board/ Duties: Counselor and Mentor to undergraduate student brothers/ Start Date : 4/1/2023

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-08-29
S63 Uniform Securities Agent State Law Examination 2004-10-12
  • S66 Uniform Combined State Law Examination
    2007-08-29
  • S63 Uniform Securities Agent State Law Examination
    2004-10-12

View on SEC IAPD

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