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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2023-08-14
CO RA APPROVED 2023-08-10
NV RA APPROVED 2021-10-07
TX RA APPROVED_RES 2009-01-08
NE RA APPROVED 2008-12-10
  • MI RA
    APPROVED
    Since 2023-08-14
  • CO RA
    APPROVED
    Since 2023-08-10
  • NV RA
    APPROVED
    Since 2021-10-07
  • TX RA
    APPROVED_RES
    Since 2009-01-08
  • NE RA
    APPROVED
    Since 2008-12-10

Branch Locations

8415 Maddox Drive Suite 101, Lincoln, NE 68520 • United States

4600 S. Ulster Street 7Th Floor, Denver, CO 80237 • 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 Omaha NE 12/2008 Present
Previous Registrations
  • 2007-04-02 → 2008-12-08
    Morgan Stanley & Co. Llc
    Lincoln, NE
  • 2005-03-25 → 2007-04-02
    Morgan Stanley Dw Inc.
    Lincoln, NE
    Lincoln, NE
Other Businesses

1) SERVES AS SECRETARY AND INTERIM TREASURER WITH MARANATHA CAMP /// 2) NAME OF OTHER BUSINESS: Platte Institute / INVESTMENT RELATED?: No / ADDRESS: 6910 Pacific Street, Suite 216, Omaha, NE / NATURE OF THE BUSINESS: Charity / POSITION: Board Member / DUTIES: "Annually review the organization's goals and strategic plan to ensure alignment to the mission; Hire, evaluate and support the Chief Executive Officer Attend and/or participate in quarterly or regularly scheduled board meetings and participate on appropriate committees. Keep informed on current projects and finances of the institute. Bring ideas, interests and concerns to the attention of the CEO/Exective Director and Board Chair" / START DATE: 9-8-2022 / HOURS DEVOTED TO BUSINESS:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-02-11
  • S66 Uniform Combined State Law Examination
    2005-02-11
Other Names
  • Mark Geist

View on SEC IAPD

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