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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
TX RA APPROVED_RES 2014-08-04
  • NY RA
    APPROVED
    Since 2021-10-26
  • TX RA
    APPROVED_RES
    Since 2014-08-04

Branch Locations

250 Delaware Avenue, Buffalo, NY 14202 • United States

One Hsbc Center Suite 3737, Buffalo, NY 14203 • 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc Buffalo NY 04/2005 Present
Other Businesses

Food Bank of Western New York / 91 Holt St. Buffalo,NY 14206 / Other/ Food, Beverages & Tobacco / Providing food to the needy / Member of a committee representing the interests of any third party/parties with a relationship with the organization (i.e. Creditor's Committee) / / Conference calls pertaining to account/investment policy review / Start Date 07/26/2016/ Charitable / 2) Name of business: JMST Development LLC./ Address: 874 Walker Road, Ste C Dover DEUnited States 19904./ Investment Related: No./ Nature: investments in commercial real estate./ Role: Partner./ Duty: Investment for real estate projects in commercial real estate with my brother./ Start Date: 12/9/2022./ Time Required: N/A

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-08-02
  • S66 Uniform Combined State Law Examination
    2005-08-02
Other Names
  • Sean T Howard

View on SEC IAPD

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