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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 2014-05-05
IN RA APPROVED 2005-02-25
  • TX RA
    APPROVED_RES
    Since 2014-05-05
  • IN RA
    APPROVED
    Since 2005-02-25

Branch Locations

8801 River Crossing Blvd 4Th Floor, Indianapolis, IN 46240 • United States

8888 Keystone Crossing 10Th Floor, Indianapolis, IN 46240 • United States

Indianapolis I, IN • 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
Ubs Financial Services Indianapolis IN 12/2004 Present
  • 12/2004 → Present
    Ubs Financial Services
    Indianapolis, IN
Other Businesses

1. Violence Free Living, IncProvides education programs and services for both victims and offenders of violence, Officer, Act as Chief Financial Officer reviewing financial records, overseeing Grant Requests and disbursements, start date-9/1/2020, IndianapolisIndianaUnited States46204 2. Friends of Ellenberger Park, This is a new friends group for a Ellenberger Park which is a city park on the east side of Indianapolis. The friends groups mission is to support the park manager and to lobby for citizen concerns in the area of Park safety, park maintenance, and park activities. The friends group intents to become a non profit organization that will have the ability to raise money for park maintenance and grant matching opportunities, Officer, I have been elected as the President (pending your approval) to help guide this group and to lead group meetings and initiatives. The Indy Parks Department has a template for this type of organization including suggested bylaws and best practices from other Indy Parks Friends groups, start date-5/23/2021, IndianapolisIndianaUnited States-46219.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-02-10
S63 Uniform Securities Agent State Law Examination 1990-03-21
  • S66 Uniform Combined State Law Examination
    2005-02-10
  • S63 Uniform Securities Agent State Law Examination
    1990-03-21

View on SEC IAPD

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