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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
AK RA APPROVED 2017-04-13
  • AK RA
    APPROVED
    Since 2017-04-13

Branch Locations

3000 A Street, Suite 100, Anchorage, AK 99503 • United States

Anchorage, AK • 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
Key Bank Anchorage AK 12/2014 01/2017
Ubs Financial Services Inc. Anchorage AK 02/2017 Present
Previous Registrations
Other Businesses

1) I am a board member at the anchorage community YMCA. I spend 4 hours a month volunteering, it is not investment related. Within the board I sit on the Ethics and board development committee./Anchorage Community YMCA / 5353 lake otis parkway anchorage,alaska 99507 / Charity/ Sport & Leisure Facilities / The mission of the Anchorage Community YMCA is to put Christian principles into practice through program and services that build healthy spirit, mind and body for all. / Member of Board of directors / / Fundraise, and market the YMCAby word of mouth. Attend Board meetings to ensure good stewardship of the non profit. / Start Date 6/7/2017/42893 /// 2) Anchorage Concert Association / 430 w 7th ave suite 200 anchorage,alaska 99501 / Charity/ Cultural Establishment / Our mission is to inspire and enhance community through the performing arts. / Member of Board of directors / / Fundraise, and market the ACA by word of mouth. Attend Board meetings to ensure good stewardship of the non profit. / Start Date 6/7/2017 42893 /// 3) NAME OF OTHER BUSINESS:The Lux / INVESTMENT RELATED?: N / ADDRESS: 5450 Naknek ln, anchorageak/ NATURE OF THE BUSINESS: The licence was applied for as a curiosity, there is no activities being undertaken/ POSITION:Proprietor / owner / DUTIES:I am closing this business as it was not intended to be an actual business/ START DATE: 3/10/2023 / HOURS DEVOTED TO BUSINESS: NA

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-04-13
S65 Uniform Investment Adviser Law Examination 2013-10-03
S63 Uniform Securities Agent State Law Examination 2013-06-10
  • S66 Uniform Combined State Law Examination
    2017-04-13
  • S65 Uniform Investment Adviser Law Examination
    2013-10-03
  • S63 Uniform Securities Agent State Law Examination
    2013-06-10

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