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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2026-07-07
  • TX RA
    APPROVED
    Since 2026-07-07

Branch Locations

1471 Iyannough Road, Hyannis, MA 02601 • 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
Morgan Stanley Smith Barney Llc Hyannis MA 06/2020 08/2024
The Cooperative Bank Of Cape Cod Hyannis MA 03/2014 05/2020
Ubs Financial Services, Inc Hyannis MA 06/2026 Present
Osaic Inc Hyannis MA 08/2024 06/2026
  • 06/2020 → 08/2024
    Morgan Stanley Smith Barney Llc
    Hyannis, MA
  • 03/2014 → 05/2020
    The Cooperative Bank Of Cape Cod
    Hyannis, MA
  • 06/2026 → Present
    Hyannis, MA
  • 08/2024 → 06/2026
    Osaic Inc
    Hyannis, MA
Previous Registrations
Other Businesses

1.) The name of the business: Young Living Essential Oils. It's not investment-related. Address: 1538 W Sandalwood Dr, Lehi, Utah 84043. Multi - level marketing company that sells essential oils and other related products. I am a wholesale member. I get commission from the members who have signed up under my name that make purchases. The amount varies every month. The average monthly income is approximately $50. I devote 0 hours to this business. I started on 12/12/2012.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-11-28
  • S66 Uniform Combined State Law Examination
    2022-11-28

View on SEC IAPD

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