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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2026-05-18 |
Branch Locations
One North Wacker Drive Ste 3300, Chicago, IL 60606 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Chicago | IL | 12/2007 | 09/2017 |
| Ubs Financial Services Inc. | Chicago | IL | 05/2026 | Present |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Chicago | IL | 09/2017 | 09/2022 |
| Morgan Stanley Smith Barney Llc | Chicago | IL | 09/2022 | 07/2023 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Chicago | IL | 07/2023 | 04/2026 |
| Bank Of America N.A. | Chicago | IL | 09/2023 | 04/2026 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-10-15 |
| S63 | Uniform Securities Agent State Law Examination | 2009-05-28 |
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