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Erik Brian Degroot

Ubs Financial Services Inc.

Southampton, NY

Wading River, NY

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-10-26
TX RA APPROVED_RES 2013-02-06
  • NY RA
    APPROVED
    Since 2021-10-26
  • TX RA
    APPROVED_RES
    Since 2013-02-06

Branch Locations

8 Main Street, Southampton, NY 11968-4819 • United States

Wading River, NY • 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 Southampton NY 05/2008 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-05-10
S63 Uniform Securities Agent State Law Examination 2000-04-12
  • S65 Uniform Investment Adviser Law Examination
    2004-05-10
  • S63 Uniform Securities Agent State Law Examination
    2000-04-12

View on SEC IAPD

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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SOUTHAMPTON, NY
WELLS FARGO CLEARING SERVICES, LLC · SOUTHAMPTON, NY
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