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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2016-06-06
NH RA APPROVED 2014-08-04
  • TX RA
    APPROVED
    Since 2016-06-06
  • NH RA
    APPROVED
    Since 2014-08-04

Branch Locations

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

Concord, NH • 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. Concord NH 07/2014 Present
Other Businesses

MONTVILLE TOWNSHIP PARKS & RECREATION / 195 CHANGE BRIDGE ROAD MONTVILLE,NJ 07045 / BASKETBALL REFEREE/ START DATE 1/17/2015 Baker Free Library Foundation / United States / 509 South Street New Hampshire / Charity / Charity / Member of Board of directors / Start Date 10/1/2018 New England Masters Skiing / 812 Rustic Drive Killington, Vermont 05751 / United States / Association (e.g. Trade or Industry, Sport)/ Sport & Leisure Facilities / To organize and run competitive ski races in New England / Member of Board of directors / Help with marketing, help with planning the schedule, help drive new membership and support current members / Start Date 10/1/2019 / Property Management / Assisting a property owner in managing two income properties / 98 Pinnacle Park Road, Meredith, New Hampshire 03253 / United States / Part time manager, cleaner / Annual Compensation Amount: $6,000 / Start Date 2/1/2015 Name of Business: New Hampshire Children's Health Foundation./ Address: 49 South Main Street #204 Concord United States 03301./ Investment Related: No./ Nature: Overseeing a foundation and making distributions to other organizations in an effort to create better health outcomes for NH children./ Role: Member of a committee with management / supervisor functions./ Duty: Member of the investment committee, to help provide oversight of the professional money managers for the foundation's funds./ Start Date: 9/1/2023./ Time Required: N/A.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-08-01
S63 Uniform Securities Agent State Law Examination 2013-03-09
  • S65 Uniform Investment Adviser Law Examination
    2014-08-01
  • S63 Uniform Securities Agent State Law Examination
    2013-03-09

View on SEC IAPD

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