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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2024-02-16
  • CT RA
    APPROVED
    Since 2024-02-16

Branch Locations

299 Park Avenue 8Th, 9Th, & 11Th Floors, New York, NY 10171 • United States

1 North Wacker Drive 32Nd & 33Rd, Chicago, IL 60606 • 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
Janney Montgomery Scott Llc West Hartford CT 08/2021 09/2022
Highland Park Market Farmington CT 06/2018 02/2019
Fairfield University Fairfield CT 08/2017 05/2019
University Of Connecticut Storrs CT 08/2019 05/2021
Bengston & Smith P.C. Farmington CT 05/2018 08/2018
Legowski & Associates Ltd Farmington CT 12/2016 04/2017
Farmington High School Farmington CT 09/2013 06/2017
Unemployed Farmington CT 01/2011 04/2017
Janney Montgomery Scott Llc West Hartford CT 09/2022 11/2023
Ubs Financial Services, Inc Chicago IL 11/2023 Present
  • 08/2021 → 09/2022
    West Hartford, CT
  • 06/2018 → 02/2019
    Highland Park Market
    Farmington, CT
  • 08/2017 → 05/2019
    Fairfield University
    Fairfield, CT
  • 08/2019 → 05/2021
    University Of Connecticut
    Storrs, CT
  • 05/2018 → 08/2018
    Bengston & Smith P.C.
    Farmington, CT
  • 12/2016 → 04/2017
    Legowski & Associates Ltd
    Farmington, CT
  • 09/2013 → 06/2017
    Farmington High School
    Farmington, CT
  • 01/2011 → 04/2017
    Unemployed
    Farmington, CT
  • 09/2022 → 11/2023
    West Hartford, CT
  • 11/2023 → Present
    Chicago, IL
Previous Registrations
Other Businesses

West Hartford Chamber of Commerce, West Hartford, CT. Member (08/2023); Networking with local businesses, promoting economic growth, advocating business interests, and participating in community events. Not investment related, 6 hours/month.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-07-09
  • S66 Uniform Combined State Law Examination
    2022-07-09

View on SEC IAPD

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