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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| DE | RA | APPROVED | 2026-02-05 |
| CA | RA | APPROVED | 2023-08-29 |
| NV | RA | APPROVED | 2023-05-01 |
| MD | RA | APPROVED | 2010-11-22 |
| TX | RA | APPROVED | 2010-11-17 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Baltimore | MD | 11/2010 | Present |
OTHER BUSINESS: KEENE L. BARTLEY TRUST INVESTMENT RELATED: NO ADDRESS: HOME ADDRESS POSITION: TRUSTEE NATURE: TRUST/TRUSTEE TIME SPENT: MINIMAL DURING TRADE HRS: NO OTHER: I AM HIS GRANDFATHER DUTIES: TRUSTEE COMMENT: START DATE - 6/1/2005
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-09-28 |
| S63 | Uniform Securities Agent State Law Examination | 2000-04-17 |
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