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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 2007-07-03
NC RA APPROVED 2007-01-03
  • TX RA
    APPROVED_RES
    Since 2007-07-03
  • NC RA
    APPROVED
    Since 2007-01-03

Branch Locations

717 Green Valley Road Suite 250, Greensboro, NC 27408 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. Greensboro NC 09/2006 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-12-28
  • S66 Uniform Combined State Law Examination
    2006-12-28
Other Names
  • Tony Otero

View on SEC IAPD

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