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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 2024-09-16
CT RA APPROVED 2024-06-18
NY RA APPROVED 2021-10-26
NJ RA APPROVED 2012-10-01
  • TX RA
    APPROVED_RES
    Since 2024-09-16
  • CT RA
    APPROVED
    Since 2024-06-18
  • NY RA
    APPROVED
    Since 2021-10-26
  • NJ RA
    APPROVED
    Since 2012-10-01

Branch Locations

600 Washington Blvd 9Th Floor, Stamford, CT 06901 • United States

299 Park Ave 26Th Floor, New York, NY 10171 • United States

1285 Avenue Of The Americas 38Th Floor, New York, NY 10019 • United States

Greenwich, CT • 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. New York NY 08/2012 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-09-28
S63 Uniform Securities Agent State Law Examination 2007-10-26
  • S65 Uniform Investment Adviser Law Examination
    2012-09-28
  • S63 Uniform Securities Agent State Law Examination
    2007-10-26
Other Names
  • Matthew Klein

View on SEC IAPD

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