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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2026-03-25
TX RA APPROVED 2023-08-29
  • CA RA
    APPROVED
    Since 2026-03-25
  • TX RA
    APPROVED
    Since 2023-08-29

Branch Locations

Houston, TX • United States

4400 Post Oak Parkway Suite 1800, Houston, TX 77027 • 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
New York Life Insurance Company New York NY 05/2020 05/2022
W Times Square- New York/Marriott International New York NY 05/2016 03/2020
Stony Brook University Stony Brook NY 08/2013 12/2017
Nylife Securities Llc New York NY 09/2021 05/2022
Ubs Financial Services Houston TX 05/2022 Present
  • 05/2020 → 05/2022
    New York Life Insurance Company
    New York, NY
  • 05/2016 → 03/2020
    W Times Square- New York/Marriott International
    New York, NY
  • 08/2013 → 12/2017
    Stony Brook University
    Stony Brook, NY
  • 09/2021 → 05/2022
    Nylife Securities Llc
    New York, NY
  • 05/2022 → Present
    Ubs Financial Services
    Houston, TX
Other Businesses

1. Houston Humane Society, HoustonTexasUnited States-77053, Charity, "Treasurer is responsible for managing the group's budget (income and expenses), processing all in-kind donations and revenue through the HHS development office in a timely manner, and maintaining fiscal health, Providing an update/financial statements at each Committee meeting, Working directly with the Staff Account to process expenses and revenue and generate donor recognition in a timely manner, Creating brief cost/benefit analysis for potential fundraising events, Researching and soliciting potential sponsors for events or service activities", "Member of the YAP. The Young Adult Professionals (YAP) at the Houston Humane Society (HHS) is the affinity group for young professionals ages 21-39 who share a common passion for the Houston Humane Society and its mission. YAP @ HHS Mission Statement: aims to engage young adult professionals in the Houston area and inspire them to support the Houston Humane Society through philanthropy, volunteering and educating the public, all while building a network based on a shared love of animals.", start date-1/6/2025

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-08-29
S63 Uniform Securities Agent State Law Examination 2022-03-21
  • S65 Uniform Investment Adviser Law Examination
    2023-08-29
  • S63 Uniform Securities Agent State Law Examination
    2022-03-21

View on SEC IAPD

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