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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
MT RA APPROVED 2021-10-15
TX RA APPROVED 2021-10-14
  • MT RA
    APPROVED
    Since 2021-10-15
  • TX RA
    APPROVED
    Since 2021-10-14

Branch Locations

100 Railroad Street W Suite 103, Missoula, MT 59802 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Missoula MT 01/1995 Present
Bank Of America, N.A. Missoula MT 11/2009 Present
Ubs Financial Service.iNc Missoula MT 10/2021 Present
Previous Registrations
Other Businesses

1) I*79588 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION/ NAME OF OUTSIDE BUSINESS ORGANIZATION: KOPRIVICA HIGH SCHOOL GOLF FOUNDATION/INVESTMENT RELATED: N ADDRESS OF BUSINESS: MISSOULA, MONTANA 59806 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 7/30/2015 NUMBER OF HOURS DEVOTED: 2 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: RAISE FUND AND ANNUAL REVEIW OF COACHS BUDGED REQUEST I*99622 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: ENDANGERED CAPITALIST LLC INVESTMENT RELATED: Y ADDRESS OF BUSINESS: MISSOULA, MONTANA 59803 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 11/2/2016 NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: EQUIPMENT RENTAL / LEASE/ owner , manager, purchasing equipment I*8446 For profit or not for profit: Name of outside business organization: Rental Property Investment related: Address of business: Missoula, Montana 59803 Nature of business: , Position, title, association: , Start date of relationship: 8/10/2019 Number of hours devoted: 0 hour(s) Number of hours devoted during trading hours: 0 Scott Seifert, Arizona United States85281, rental property for daughter, Real Estate, Rental property that my Daughter lives in, Property owner, manage property, start date- 5/1/2019.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-05-06
S63 Uniform Securities Agent State Law Examination 1992-01-06
  • S65 Uniform Investment Adviser Law Examination
    1995-05-06
  • S63 Uniform Securities Agent State Law Examination
    1992-01-06
Designations

View on SEC IAPD

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