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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2015-12-08
TX RA APPROVED 2015-12-08
  • IL RA
    APPROVED
    Since 2015-12-08
  • TX RA
    APPROVED
    Since 2015-12-08

Branch Locations

One North Wacker Drive Ste 3300, Chicago, IL 60606 • United States

Sedona, AZ • United States

Chicago, IL • 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 Chicago IL 12/2015 Present
Previous Registrations
  • 2008-09-15 → 2015-12-22
    Credit Suisse Securities (Usa) Llc
    Chicago, IL
  • 2004-06-04 → 2008-09-18
    Lehman Brothers Inc.
    Chicago, IL
    Chicago, IL
Other Businesses

1) 2015 HAPPY HOLLOW RD; 2015 Happy Hollow Rd, West Lafayette, IN/Tippecanoe, IN 47906; real estate rental/investment; Proprietor/owner; find tenants; 6/30/2017; Business hours per month: No // 4311 NORTH HERMITAGE; 4311 North Hermitage, Chicago, IL 60613; house rental; Proprietor/owner; pay for it; 10/23/2017; Business hours per month: No 2) Maroon II, LLC/investment related?: yes/ 4313 North Hermitage Ave, Chicago Illinois, 60613 US/ investment LLC/ Sign annual LLC docs for state of illinois,/ Proprietor / owner/ start date: 6/19/2016/ 3) Moster, Ltd, develop apartments and condominiums, Executive director, fund the company with working capital, coordinate annual tax compliance, start date-8/31/2022, Limassol Cyprus-3020. 4)Boxing out Negativity (BON) United States , "teach boxing to youth at risk in chicago's blighted north lawndale community uses boxing as a tool to get kids off the streets and out of gangs; provides something positive and challenging boxing gets them in the door; mentoring" , "Treasurer; responsible for helping the CFO craft reports that are digestible to the board and others that need to see the financials in simple formats Start date 12/1/2023

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-12-08
S63 Uniform Securities Agent State Law Examination 1998-10-09
  • S65 Uniform Investment Adviser Law Examination
    1998-12-08
  • S63 Uniform Securities Agent State Law Examination
    1998-10-09

View on SEC IAPD

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