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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
ID RA APPROVED 2025-03-06
WA RA APPROVED 2008-11-03
  • ID RA
    APPROVED
    Since 2025-03-06
  • WA RA
    APPROVED
    Since 2008-11-03

Branch Locations

Seattle, WA • United States

Woodinville, WA • United States

925 Fourth Avenue 31St & 32Nd Floor, Seattle, WA 98104 • 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 Seattle WA 06/2005 Present
  • 06/2005 → Present
    Ubs Financial Services
    Seattle, WA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-10-30
S63 Uniform Securities Agent State Law Examination 2001-12-06
  • S66 Uniform Combined State Law Examination
    2008-10-30
  • S63 Uniform Securities Agent State Law Examination
    2001-12-06

View on SEC IAPD

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