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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2021-12-13
TX RA APPROVED 2021-07-06
CT RA APPROVED 2020-02-03
  • FL RA
    APPROVED
    Since 2021-12-13
  • TX RA
    APPROVED
    Since 2021-07-06
  • CT RA
    APPROVED
    Since 2020-02-03

Branch Locations

100 West Putnam Avenue 2Nd Floor, Greenwich, CT 06830 • United States

Venice, FL • 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
Ntt Data Boston MA 09/2008 12/2019
Ubs Financial Services Inc. Greenwich CT 12/2019 Present
Other Businesses

1) Summit Advisors LLC President Non investment related business established in 2005 Address: 31 Fawn Lane, Somers , New York 10589 Scope of business: Professional Consulting/Advisory - expert witness for Law Firm regarding Technology/Systems intergration lawsuits hours /month - less then 4 hours per month, will not be during securities trading hours 2) Summit Advisors,LLC / United States / 31 Fawn Lane, Somers, New York 10589 / Sole proprietorship / Non investment related business. A limited liability company(LLC) set up in 2005. Currently used for expert witness consulting for Law Firm regarding Technology/Systems integration projects. Projects began in 2019 and will be finalized in 2020. Time commitment will not exceed 4 hours per month and will not be conducted during securities trading hours. / Proprietor / owner / Investment in Company?: YES; 100 / Start Date 10/1/2005 3) Astreya / 2099 Gateway Pl Suite 140 94088/ California/United States, www.astreya.com/ Company/ Information Technology /IT Services/ Board Director - monthly 2 hour board mtg/ Member of Board of directors / Receive compensation?: Yes/ Start Date 9/1/2020

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-02-03
  • S66 Uniform Combined State Law Examination
    2020-02-03
Other Names
  • Jim Milde

View on SEC IAPD

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