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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2022-03-21
CO RA APPROVED 2021-08-10
  • TX RA
    APPROVED
    Since 2022-03-21
  • CO RA
    APPROVED
    Since 2021-08-10

Branch Locations

370-17Th Street, Denver, CO 80202 • United States

Denver, CO • 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 Denver CO 06/2021 Present
Ubs New York NY 07/2017 05/2021
Ubs Weehawken NJ 01/2016 06/2017
  • 06/2021 → Present
    Denver, CO
  • 07/2017 → 05/2021
    Ubs
    New York, NY
  • 01/2016 → 06/2017
    Ubs
    Weehawken, NJ
Other Businesses

1) Name of Business: USO./ Address: P.O. Box 96860Washington United States20077./ Investment Related: No./ Nature: The USO offers a variety of programs and services designed to support our service members and their families./ Role: Member of Board of directors./ Duty: board membership for Colorado and Wyoming include event planning, speaking about my military experience, and potentially assisting in fundraising./ Start Date: 6/28/2023./ Hours Devoted: No.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-08-10
  • S66 Uniform Combined State Law Examination
    2021-08-10
Other Names
  • Casey Minnick Sedlock

View on SEC IAPD

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