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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2017-11-06
MN RA APPROVED 2015-11-19
  • TX RA
    APPROVED
    Since 2017-11-06
  • MN RA
    APPROVED
    Since 2015-11-19

Branch Locations

New Brighton, MN • United States

444 Cedar St, St Paul, MN 55101-2108 • 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
Ubs Financial Services, Inc Minneapolis MN 09/2015 Present
Other Businesses

1) Name of Business: Rotary Club of St. Paul./ Address: PO Box 600065 St. Paul Minnesota United States 55106./ Investment Related: No./ Nature: A social club of volunteers who give their time and money to help causes local to St. Paul and Internationally./ Role: Member of Board of directors./ Duty: Join board meetings twice per month. Help the President execute on their objectives for the year, including member growth, community involvement, and fund raising./ Start Date: 7/1/2023./ Time Required: N/A. 2) R and S W Revocable Trust,Revocable Trust for personal estate planning. The trust owns investment accounts and personal real estate in WI and FL.,WisconsinUnited States,Initially, I will serve no role nor have any duties. As Successor Trustee, I would be appointed as Trustee at their deaths or incapacitation to help distribute their estate according to the language of the trust. Start date 12/1/2025

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-11-19
  • S66 Uniform Combined State Law Examination
    2015-11-19

View on SEC IAPD

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