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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2022-06-01 |
| TX | RA | APPROVED | 1999-11-09 |
Branch Locations
100 Crescent Court Suite 600, Dallas, TX 75201 • United States
Dallas, TX • United States
Vail, CO • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Plano | TX | 11/1999 | Present |
1) NAME OF OTHER BUSINESS:Estate of Bruce E Ficken, Nancy Sawicki Executor / INVESTMENT RELATED?: Yes / ADDRESS: 3536 Potomac Ave Dallas Texas 75205 US/ NATURE OF THE BUSINESS: just a simple brokerage account, valued around $64/ POSITION:Executor position on father's estate/ DUTIES:Closing down estate of deceased father.Closing final positions to distribute/ START DATE: 5/3/2010 / HOURS DEVOTED TO BUSINESS: _________
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-03-01 |
| S63 | Uniform Securities Agent State Law Examination | 1992-10-09 |
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