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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 2017-03-13
NC RA APPROVED 2001-12-31
  • TX RA
    APPROVED_RES
    Since 2017-03-13
  • NC RA
    APPROVED
    Since 2001-12-31

Branch Locations

1985 Eastwood Road, Wilmington, NC 28403 • 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 No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. Wilmington NC 08/2000 Present
Other Businesses

New Hanover Hospital Foundation / 2259 South 17th Street Wilmington,NC 28403 / Foundation/ Health Care & Pharmaceuticals / Fundraising for New Hanover Medical Center / Officer / / Secretary. Responsible for nominating committee / Start Date 3/30/2017

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-11-30
S63 Uniform Securities Agent State Law Examination 1997-04-29
  • S66 Uniform Combined State Law Examination
    2000-11-30
  • S63 Uniform Securities Agent State Law Examination
    1997-04-29

View on SEC IAPD

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