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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 2010-11-03
CT RA APPROVED 2005-09-27
  • TX RA
    APPROVED_RES
    Since 2010-11-03
  • CT RA
    APPROVED
    Since 2005-09-27

Branch Locations

Southington, CT • United States

One State Street Suite 1600, Hartford, CT 06103 • 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 Inc Hartford CT 07/2005 Present
Other Businesses

1) CEO Foundation of CT / 1000 Lafayette Blvd Suite 1100 Bridgeport,CT 06604 / Foundation/ Education / Providing Scholarships / Member of Board of Directors / / Assist the board and current Chairperson with furthing the charitable intent of the organization. Participating in investment comittee review meetings with the outside investment consultant. / Authority to make investment decisions?: yes/ Start Date 12/1/2020/ 2)University of Connecticut Alumni Committee / 2384 Alumni Drive Storrs,CT 06269 / Foundation/ Charities, Cultural, Educational & Political Organisations / Alumni Engagement / Member of a committee representing the interests of any third party/parties with a relationship with the organization (i.e. Creditor's Committee) / / Alumni engagement and outreach / Start Date 3/31/16 /

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-09-26
  • S66 Uniform Combined State Law Examination
    2005-09-26

View on SEC IAPD

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