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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 2010-05-24
CT RA APPROVED 2007-02-12
  • TX RA
    APPROVED_RES
    Since 2010-05-24
  • CT RA
    APPROVED
    Since 2007-02-12

Branch Locations

Chatham, MA • United States

600 Washington Blvd 9Th Floor, Stamford, CT 06901 • 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. Stamford CT 11/2006 Present
Other Businesses

Tokeneke Tax District; Darien, CT 06820; A private neighborhood (Tokeneke) in Darien CT. The neighborhood is run by an Association Board. Tokeneke Tax District coordinates with the Association Board in determining the tax rate for the neighborhood. The tax proceeds are used to pay for expenses of the neighborhood (e.g. roads, security etc.); The 8 members of the Tokeneke Tax District determine the tax rate for the residents in order to fully fund the neighborhood's annual budget; Review the annual budget and calculate the tax revenue necessary to fund the operating budget; Start date: 4/1/2024

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-02-09
  • S66 Uniform Combined State Law Examination
    2007-02-09
Other Names
  • Romeyn C Prescott

View on SEC IAPD

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