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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 1999-04-29 |
Branch Locations
10001 Woodloch Forest Drive Suite 100, The Woodlands, TX 77380 • United States
1780 Hughes Landing Blvd. Suite 200, The Woodlands, TX 77380-1687 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | The Woodlands | TX | 01/1999 | Present |
1) Kathleen Sorrentino Special Needs Trust/investment related?: yes/ 97 E. Stoney End Place, The Woodlands, Texas, 77381, US/ I will oversee and approve the expenses related to taking care of Kathleen as well as oversee deposits as they come in. I am not anticipating there being any investments in the account, but if there are large enough deposits there could be a possibility of having CDs, bonds, or maybe a balanced fund in the account./ start date: 6/1/2021/
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1999-03-26 |
| S65 | Uniform Investment Adviser Law Examination | 1999-03-26 |
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