Foram Shah

Ubs Financial Services Inc.

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Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2023-04-04
DC	RA	APPROVED	2021-03-18

NY RA
APPROVED

Since 2023-04-04
DC RA
APPROVED

Since 2021-03-18

Branch Locations

1700 M Street Nw 5Th Floor, Washington, DC 20036 • United States

315 Deaderick Street 6 Floor, Nashville, TN 37238 • United States

1285 Avenue Of The Americas 38Th Floor, New York, NY 10019 • United States

New York, 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

Organization	City	State	From	To
Ubs Business Solutions Us Llc	Nashville	TN	07/2018	Present
Ubs Business Solutions India Private Limited	Pune		05/2017	01/2018
Pricewaterhouse Coopers Private Limited	Mumbai		02/2015	10/2016
Extended Travel And Homemaking	Nashville	TN	02/2018	06/2018
Extended Travel And Homemaking	Pune		11/2016	04/2017

07/2018 → Present

Ubs Business Solutions Us Llc

Nashville, TN
05/2017 → 01/2018

Ubs Business Solutions India Private Limited

Pune
02/2015 → 10/2016

Pricewaterhouse Coopers Private Limited

Mumbai
02/2018 → 06/2018

Extended Travel And Homemaking

Nashville, TN
11/2016 → 04/2017

Extended Travel And Homemaking

Pune

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2019-08-24

S63 Uniform Securities Agent State Law Examination

2019-08-24

View on SEC IAPD

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Other Investors

LEAH SAWYER BRYAN

GARY ANDREW EDMONDS

JAMES DARRELL ZACK

HSIAO-CHUAN CHANG

AMANDA JEAN ZACK

CHRISTINE RUSHIN MISTR

CHARLES DOUGLAS HARTLEY

Marilyn McKinnon

Other Offices

BRYSPEN, INCORPORATED · WASHINGTON, DC

3WIRE INVESTMENT · WASHINGTON, DC

LPL FINANCIAL LLC · WASHINGTON, DC

ORIDIAN CAPITAL MANAGEMENT, L.P. · WASHINGTON, DC

C5 CAPITAL USA LLC · WASHINGTON, DC

AEB CAPITAL · WASHINGTON, DC

DOMINION FINANCIAL CONSULTANTS, LLC · WASHINGTON, DC

A.G.P. / ALLIANCE GLOBAL PARTNERS · Washington, DC

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