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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2020-10-19
  • PA RA
    APPROVED
    Since 2020-10-19

Branch Locations

1735 Market Street 44Th Floor, Philadelphia, PA 19103 • 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
Citizens Securities, Inc Canton MA 07/2019 12/2019
Citizens Bank Philadelphia PA 05/2019 12/2019
Pennsylvania State University University Park PA 06/2013 06/2017
Kish Bancorp State College PA 06/2015 01/2017
Pnc Bank Philadelphia PA 09/2017 05/2019
Ubs Financial Services Inc. Philadelphia PA 12/2019 Present
  • 07/2019 → 12/2019
    Citizens Securities, Inc
    Canton, MA
  • 05/2019 → 12/2019
    Citizens Bank
    Philadelphia, PA
  • 06/2013 → 06/2017
    Pennsylvania State University
    University Park, PA
  • 06/2015 → 01/2017
    Kish Bancorp
    State College, PA
  • 09/2017 → 05/2019
    Pnc Bank
    Philadelphia, PA
  • 12/2019 → Present
    Philadelphia, PA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-10-19
S63 Uniform Securities Agent State Law Examination 2019-08-12
  • S65 Uniform Investment Adviser Law Examination
    2020-10-19
  • S63 Uniform Securities Agent State Law Examination
    2019-08-12
Other Names
  • Dana Thi Nguyen
  • Dana Nguyen

View on SEC IAPD

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