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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
OK RA APPROVED 1996-01-11
TX RA APPROVED 1992-07-14
  • OK RA
    APPROVED
    Since 1996-01-11
  • TX RA
    APPROVED
    Since 1992-07-14

Branch Locations

301 Commerce Ste 2800, Ft. Worth, TX 76102 • United States

301 Commerce, Fort Worth, TX 76102 • United States

Fort Worth, TX • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. Fort Worth TX 03/1992 Present
Other Businesses

NAME OF OTHER BUSINESS: Iron Phi Foundation / INVESTMENT RELATED?:No / ADDRESS: 2 S Campus Ave, Oxford , OH / NATURE OF THE BUSINESS: Strengthening the scholarships offered by the Phi Delta Theta Foundation, educational programming of the Phi Delta Theta International Fraternity and the impact it has on the fight against Lou Gehrig's disease through the fundraising and athletic efforts of its people. / POSITION: Oversight of allocation of scholarship monies. / DUTIES:/ START DATE: 12/20/2022/ HOURS DEVOTED TO BUSINESS: NA Sister Cities International Foundation, The foundation will exclusively support the charitable purposes of Sister Cities International, Inc, Work with the other trustees to oversee the charitable activies of the foundation, start date-8/1/2018, District of ColumbiaUnited States 20005. Fort Worth Zoo Association1989 Colonial ParkwayFort Worth, Texas 76110, "Manages the Fort Worth Zoo, Board member, Executive Committee member & Treasurer", start date-8/29/2007 Pacific Retirement Services, Inc., Owns and operates retirement facilities, Member of a committee with management / supervisor functionsReview investment performance, review the company's financial advisors recommendations regarding managers and asset allocation, start date-1/1/2017, MedfordOregon USA97501.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-07-10
S63 Uniform Securities Agent State Law Examination 1992-06-18
  • S65 Uniform Investment Adviser Law Examination
    1992-07-10
  • S63 Uniform Securities Agent State Law Examination
    1992-06-18

View on SEC IAPD

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