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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2024-05-06
NH RA APPROVED 2020-07-30
ME RA APPROVED 2009-07-09
  • CT RA
    APPROVED
    Since 2024-05-06
  • NH RA
    APPROVED
    Since 2020-07-30
  • ME RA
    APPROVED
    Since 2009-07-09

Branch Locations

One City Center 10Th Floor, Portland, ME 04101 • United States

11 S. Main Street Suite 300, Concord, NH 03301 • United States

38 Eastwood Drive Suite 400, South Burlington, VT 05403 • United States

1155 Elm Street Suite 501, Manchester, NH 03101 • 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 Portland ME 02/2009 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-07-06
S63 Uniform Securities Agent State Law Examination 2000-06-29
  • S65 Uniform Investment Adviser Law Examination
    2009-07-06
  • S63 Uniform Securities Agent State Law Examination
    2000-06-29
Other Names
  • Patrick Joseph Henning

View on SEC IAPD

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