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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2014-02-24 |
| NC | RA | APPROVED | 2008-05-05 |
Branch Locations
13024 Ballantyne Corporate Plaza Suite 650, Charlotte, NC 28277 • United States
6100 Fairview Road 9Th Floor, Charlotte, NC 28211 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Charlotte | NC | 04/2008 | Present |
1) P.V.OKI L.L.C. / 1001 Crooked River Dr Waxhaw,NC 28173 / Other/ Real Estate / Vacation Rental Property / Officer / / File required LLC ppwk each year / Start Date 03/13/2017/ LLC / 2) A.S.OKI L.L.C. / 1001 Crooked River Dr Waxhaw,NC 28173 / Other/ Real Estate / Vacation Rental Property / Officer / / File required LLC ppwk each year / Start Date 03/13/2017/ L.L.C. / 3) Trust of W.D., Serve as Trustee, Serve as Trustee until all money is distributed to the two heirs, start date-4/9/2018, Waxhaw NC United States-28173.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-03-20 |
| S63 | Uniform Securities Agent State Law Examination | 1992-07-24 |
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