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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2001-06-22
  • WA RA
    APPROVED
    Since 2001-06-22

Branch Locations

Three Bellevue Center 20Th Fl 301 108Th Avenue Ne, Bellevue, WA 98004 • United States

225 108Th Avenue Ne Suite 800, Bellevue, WA 98004 • 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 Painewebber Incorporated Bellevue WA 05/2001 Present
  • 05/2001 → Present
    Ubs Painewebber Incorporated
    Bellevue, WA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-08-25
S63 Uniform Securities Agent State Law Examination 1999-08-11
  • S65 Uniform Investment Adviser Law Examination
    1999-08-25
  • S63 Uniform Securities Agent State Law Examination
    1999-08-11

View on SEC IAPD

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