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Lisa M Harrington

Ubs Financial Services Inc.

Rochester, NY

Penfield, NY

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-10-26
CA RA APPROVED 2018-05-02
  • NY RA
    APPROVED
    Since 2021-10-26
  • CA RA
    APPROVED
    Since 2018-05-02

Branch Locations

400 Linden Oaks, Rochester, NY 14625 • United States

Penfield, NY • 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 Rochester NY 07/2015 01/2018
Ef Legacy Securities, Llc Henrico VA 02/2018 03/2018
Edelman Financial Services, Llc Fairfax VA 02/2018 03/2018
Ubs Financial Services Inc Los Gatos CA 04/2018 Present
Previous Registrations
  • 2018-02-05 → 2018-04-19
    Edelman Financial Services, Llc
    Santa Clara, CA
    Santa Clara, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-08-12
  • S66 Uniform Combined State Law Examination
    2016-08-12
Other Names
  • Lisa Michelle Janos
  • Lisa Harrington

View on SEC IAPD

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Other Offices

MORGAN STANLEY · Rochester, NY
COMMONWEALTH FINANCIAL NETWORK · ROCHESTER, NY
NOVEM GROUP · ROCHESTER, NY
OSAIC WEALTH, INC. · ROCHESTER, NY
EDELMAN FINANCIAL ENGINES · ROCHESTER, NY
RISE ADVISORS, LLC · ROCHESTER, NY
MARINER · Rochester, NY
UBS FINANCIAL SERVICES INC. · Rochester, NY

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