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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2015-04-06 |
| CT | RA | APPROVED | 2000-03-27 |
Branch Locations
1 Century Tower 265 Church Street Suite 1102, New Haven, CT 06510 • United States
Killingworth, CT • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | New Haven | CT | 03/2009 | Present |
1. Wooster Lodge #79Charitable minded organization, New HavenctUnited States-06511, Execute on decisions made on the Board for the financial accounts at UBS, monitor the statements at UBS and report annually the the Lodge. Serve as one of three TTEEs. Fostering continual member knowledge of the Lodge, start date-5/20/2025.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-07-12 |
| S63 | Uniform Securities Agent State Law Examination | 1999-07-09 |
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