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Kimberly A Oliver

Ubs Financial Services Inc.

Melville, NY

Holbrook, NY

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-10-26
NJ RA APPROVED 2012-12-17
  • NY RA
    APPROVED
    Since 2021-10-26
  • NJ RA
    APPROVED
    Since 2012-12-17

Branch Locations

58 South Service Road Suite 310, Melville, NY 11747 • United States

Holbrook, NY • 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. Melville NY 12/2012 Present
Previous Registrations
  • 2009-06-01 → 2012-12-20
    Morgan Stanley
    Melville, NY
  • 2008-05-15 → 2009-06-01
    Morgan Stanley & Co. Llc
    Melville, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-05-28
S63 Uniform Securities Agent State Law Examination 2007-08-24
  • S65 Uniform Investment Adviser Law Examination
    2008-05-28
  • S63 Uniform Securities Agent State Law Examination
    2007-08-24
Other Names
  • Kimberly Ann Oliver

View on SEC IAPD

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