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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2025-05-20
ND RA APPROVED 2017-03-20
MN RA APPROVED 2013-12-09
TX RA APPROVED_RES 2010-11-10
  • GA RA
    APPROVED
    Since 2025-05-20
  • ND RA
    APPROVED
    Since 2017-03-20
  • MN RA
    APPROVED
    Since 2013-12-09
  • TX RA
    APPROVED_RES
    Since 2010-11-10

Branch Locations

Thomasville, GA • United States

324 Broadway Street, Alexandria, MN 56308 • United States

4150 S Second St Su 500, St Cloud, MN 56301-7319 • United States

51 Broadway, Fargo, ND 58102-4970 • 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. Alexandria MN 08/2006 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-04-26
S63 Uniform Securities Agent State Law Examination 1996-05-17
  • S66 Uniform Combined State Law Examination
    2006-04-26
  • S63 Uniform Securities Agent State Law Examination
    1996-05-17

View on SEC IAPD

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