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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2026-07-21
NJ RA APPROVED 2021-09-07
  • TX RA
    APPROVED_RES
    Since 2026-07-21
  • NJ RA
    APPROVED
    Since 2021-09-07

Branch Locations

1735 Market Street, 44Th Floor Mellon Bank Ctr., Philadelphia, PA 19103 • 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 Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Jpmorgan Chase Bank N.A. New York NY 08/2019 Present
Jpmorgan Securities Llc New York NY 08/2019 Present
Pruco Securities Llc East Brunswick NJ 01/2019 07/2019
Prudential Insurance Company Of America Newark NJ 01/2019 07/2019
Union City Board Of Education Union City NJ 06/2013 12/2016
Cvs Edgewater NJ 05/2016 07/2018
Unemployed Union City NJ 12/2018 12/2018
Unemployed Union City NJ 08/2018 11/2018
Axa Advisors New York NY 12/2017 11/2018
Ubs Financial Services Inc Weehawken NJ 06/2021 Present
  • 08/2019 → Present
    Jpmorgan Chase Bank N.A.
    New York, NY
  • 08/2019 → Present
    Jpmorgan Securities Llc
    New York, NY
  • 01/2019 → 07/2019
    Pruco Securities Llc
    East Brunswick, NJ
  • 01/2019 → 07/2019
    Prudential Insurance Company Of America
    Newark, NJ
  • 06/2013 → 12/2016
    Union City Board Of Education
    Union City, NJ
  • 05/2016 → 07/2018
    Cvs
    Edgewater, NJ
  • 12/2018 → 12/2018
    Unemployed
    Union City, NJ
  • 08/2018 → 11/2018
    Unemployed
    Union City, NJ
  • 12/2017 → 11/2018
    Axa Advisors
    New York, NY
  • 06/2021 → Present
    Weehawken, NJ
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-09-03
S63 Uniform Securities Agent State Law Examination 2020-01-03
  • S65 Uniform Investment Adviser Law Examination
    2021-09-03
  • S63 Uniform Securities Agent State Law Examination
    2020-01-03

View on SEC IAPD

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