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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 2007-09-24
CT RA APPROVED 2000-08-30
  • TX RA
    APPROVED_RES
    Since 2007-09-24
  • CT RA
    APPROVED
    Since 2000-08-30

Branch Locations

8 Wright Street, Westport, CT 06880-4701 • United States

300 Post Road West, Westport, CT 06880 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. Westport CT 05/2000 Present
Other Businesses

1)New Generation Property Management / 63 Mather Road Stamford,ct 06903 / Partnership/ Real Estate / Rental property / Partner / / property management / Start Date 1/1/02 / 2 HRS/MONTHS.DUTIES - MANAGE REAL ESTATE. 2) EASTON EVERGREEN LLC 142 WILSON ROAD EASTON, CT 06612 / NATURE OF BUSINESS - SNOW PLOWING / PRIVATE ORGANIZATION / 6 HOURS PER MONTH / INVOLVEMENT SINCE 1/22/2010 / POSITION - SNOW PLOWING Weston Volunteer Fire Department / 52 Norfield Road Weston,CT 06883 / Company/ Other Fire Department / Public Safety / Member of a committee with management or supervisory functions / / Finance Comitte / Start Date 09/19/2016 /

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-08-17
  • S66 Uniform Combined State Law Examination
    2000-08-17

View on SEC IAPD

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