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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
LA RA APPROVED 2023-04-17
TX RA APPROVED_RES 2011-01-07
OH RA APPROVED 2005-06-20
  • LA RA
    APPROVED
    Since 2023-04-17
  • TX RA
    APPROVED_RES
    Since 2011-01-07
  • OH RA
    APPROVED
    Since 2005-06-20

Branch Locations

5007 Horizons Drive, Columbus, OH 43220 • United States

Columbus, OH • 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. Columbus OH 06/2005 Present
Previous Registrations
Other Businesses

LAGNIAPPE CATERING/OWNER/25 HRS. PER MONTH. Upper Arlington Football Association / 1650 Ridgeview Dr. Upper Arlington,Ohio 43220 / Association (e.g. Trade or Industry, Sport)/ Other UAFA is a non-profit organization that sole purpose is to support the Upper Arlington High School football program / My son is a captain for the 2019 season at Upper Arlington High School. UAFA is run by the captains' parents as they are elected each year. I will be the President of the organization. The basic activities are to support the UA football program. There are fundraising activities such as ad sales, mattress sales, etc. Most of the activities center around the logistics of feeding and transporting the team during the season. / Member of Board of directors / / I will be responsible for running board meetings, setting agendas, assigning tasks and general supervision of the organization / Start Date 1/31/2019 / Lagniappe LTD. / 4849 Stonehaven Dr.ColumbusOH43220 / Partnership / This is a passive LLC that will be used to purchase real estate for personal use / Our intent is to use this LLC for real estate purchases for personal use. / My wife and I are 50% owners and will make all decisions in Lagniappe LTD / 5/12/2022 P.N Estate, Mandeville LA United States-70448, My godmother & cousin, would like me to be the Executor of her estate in the event of her death. She is currently re-dong her Will, This will be a personal estate. It will be an estate when she passes, Officer, Executor, start date-10/1/2024

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-08-03
S63 Uniform Securities Agent State Law Examination 1992-07-24
  • S65 Uniform Investment Adviser Law Examination
    1992-08-03
  • S63 Uniform Securities Agent State Law Examination
    1992-07-24
Other Names
  • David P Dherete

View on SEC IAPD

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