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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2024-10-29
  • OH RA
    APPROVED
    Since 2024-10-29

Branch Locations

3601 Rigby Road Suite 500, Miamisburg, OH 45342 • United States

Tipp City, OH • 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 Finanical Services Inc Dayton OH 05/2005 10/2016
Ubs Financial Servcies Inc Miamisburg OH 04/2016 Present
  • 05/2005 → 10/2016
    Ubs Finanical Services Inc
    Dayton, OH
  • 04/2016 → Present
    Ubs Financial Servcies Inc
    Miamisburg, OH
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-10-26
S63 Uniform Securities Agent State Law Examination 2024-03-22
  • S65 Uniform Investment Adviser Law Examination
    2024-10-26
  • S63 Uniform Securities Agent State Law Examination
    2024-03-22
Other Names
  • Amanda Marie Moore

View on SEC IAPD

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