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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-04-13 |
| TN | RA | APPROVED | 2015-12-15 |
Branch Locations
800 South Gay Street Suite 2600, Knoxville, TN 37929 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Knoxville | TN | 10/2015 | Present |
THREE RIVERS ANGLER, LLC; 5113 Kingston Pike, Knoxville, TN 37919; Sell Fly Fishing Gear and provide guided fly fishing trips; Other; LLC Member; prepare financials, assist with management decisions; 6/1/2011; Business hours per month: No 2) NAME OF OTHER BUSINESS: Historic Bijou Theatre/ INVESTMENT RELATED?:N / ADDRESS: 803 South Gay Street, Knoxville, Tennessee/ NATURE OF THE BUSINESS: Foundation is responsible for administering the management contract, raising preservation funds and ensuring that the 200 year old historic hotel and theatre are maintained and preserved for future generations./ POSITION: Member of Board of Directors / DUTIES:As treasurer I track expenses and revenue, provide on-going budget and variance analysis, provide financial oversight of management contract and chair the finance committee that provides advice and guidance to the board on all things related to the finances of the organization/ START DATE: 8/1/2016 / HOURS DEVOTED TO BUSINESS: No
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-12-15 |
| S65 | Uniform Investment Adviser Law Examination | 2005-04-14 |
| S63 | Uniform Securities Agent State Law Examination | 2005-03-22 |
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