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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2014-04-14
  • FL RA
    APPROVED
    Since 2014-04-14

Branch Locations

4225 Ponce De Leon Blvd Suite 600, Coral Gables, FL 33146 • United States

Miami, FL • United States

Disclosures

3 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. Coral Gables FL 04/2014 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-04-22
  • S66 Uniform Combined State Law Examination
    2005-04-22

View on SEC IAPD

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