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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
KY RA APPROVED 2023-12-19
NC RA APPROVED 2023-05-12
  • KY RA
    APPROVED
    Since 2023-12-19
  • NC RA
    APPROVED
    Since 2023-05-12

Branch Locations

11325 North Community House Road Suite 600, Charlotte, NC 28277 • United States

1000 & 1200 Harbor Blvd., Weehawken, NJ 07086 • 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
Lexington Pools Lexington KY 05/2016 08/2019
Flyer Enterprises Dayton OH 10/2018 05/2022
Davis Center For Portfolio Management Dayton OH 09/2019 05/2022
Ubs Lexington KY 06/2021 12/2022
Ubs Wealth Advice Center Charlotte NC 01/2023 Present
Lexington Catholic High School Lexington KY 08/2014 05/2018
University Of Dayton Dayton OH 08/2018 05/2022
  • 05/2016 → 08/2019
    Lexington Pools
    Lexington, KY
  • 10/2018 → 05/2022
    Flyer Enterprises
    Dayton, OH
  • 09/2019 → 05/2022
    Davis Center For Portfolio Management
    Dayton, OH
  • 06/2021 → 12/2022
    Ubs
    Lexington, KY
  • 01/2023 → Present
    Ubs Wealth Advice Center
    Charlotte, NC
  • 08/2014 → 05/2018
    Lexington Catholic High School
    Lexington, KY
  • 08/2018 → 05/2022
    University Of Dayton
    Dayton, OH
Other Businesses

Names of the Business: Redbubble.com. / Address: 111 Sutter St, 17th fl, San Francisco, CA, United States, 94104. Investment Related: No. / Nature of the business: Create graphic designs to be put on various household, apparel, and office items to then be sold to online consumers. / Role: Creator - I have an account that I can create graphic designs to be produced on to various items. / Duty: "I create designs to be applied to products. I do not hold any role within the physical production, distribution, or organization of the products." / Start Date: 1/1/2018. / Hours Devoted: No. / Time Required: N/A.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-05-12
  • S66 Uniform Combined State Law Examination
    2023-05-12

View on SEC IAPD

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