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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
  • NY RA
    APPROVED
    Since 2021-10-26

Branch Locations

1285 Avenue Of The Americas 19Th Floor, New York, NY 10019 • United States

Bayside,, NY • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
First American International Bank Bowery NY 05/2009 Present
Ubs Financial Sevices New York NY 01/2010 Present
Ubs Financial Services Inc. New York NY 01/2010 Present
  • 05/2009 → Present
    First American International Bank
    Bowery, NY
  • 01/2010 → Present
    Ubs Financial Sevices
    New York, NY
  • 01/2010 → Present
    New York, NY
Other Businesses

SOME FIXED INSURANCE THROUGH FAIC INSURANCE AGENCY.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-11-26
S63 Uniform Securities Agent State Law Examination 1998-10-21
  • S66 Uniform Combined State Law Examination
    2011-11-26
  • S63 Uniform Securities Agent State Law Examination
    1998-10-21

View on SEC IAPD

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