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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2023-01-03
TX RA APPROVED_RES 2022-07-05
IL RA APPROVED 2015-12-01
  • FL RA
    APPROVED
    Since 2023-01-03
  • TX RA
    APPROVED_RES
    Since 2022-07-05
  • IL RA
    APPROVED
    Since 2015-12-01

Branch Locations

One North Wacker Drive Ste 3300, Chicago, IL 60606 • United States

Chicago, IL • 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 Chicago IL 10/2015 Present
  • 10/2015 → Present
    Ubs
    Chicago, IL
Other Businesses

1. AJBCA LLLP, This is a Family LLLP that invests primarily in liquid securities, held here at UBS. Each member of the family is a 20% stakeholder and I am a limited partner, J.t. and T.U. Sr are general partners, Advisor or advisory group member if advice given may influence an officer/board, I am the financial advisor for these accounts, start date-10/9/2017, Bonita SpringsFlorida United States.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-12-01
  • S66 Uniform Combined State Law Examination
    2015-12-01

View on SEC IAPD

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