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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 2006-08-11
MD RA APPROVED 2002-07-19
  • TX RA
    APPROVED_RES
    Since 2006-08-11
  • MD RA
    APPROVED
    Since 2002-07-19

Branch Locations

100 East Pratt Street Suite 2140, Baltimore, MD 21202 • United States

500 East Pratt Street, Baltimore, MD 21202 • United States

Forest Hill, MD • 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. Baltimore MD 07/2002 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-02-23
S63 Uniform Securities Agent State Law Examination 1996-05-06
  • S65 Uniform Investment Adviser Law Examination
    1998-02-23
  • S63 Uniform Securities Agent State Law Examination
    1996-05-06

View on SEC IAPD

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