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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2009-03-13
  • FL RA
    APPROVED
    Since 2009-03-13

Branch Locations

1800 North Military Trail Suite 300, Boca Raton, FL 33431 • United States

West Palm Beach, FL • 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 Boca Raton FL 03/2009 Present
Previous Registrations
  • 2007-04-02 → 2009-03-11
    Morgan Stanley & Co. Llc
    Boca Raton, FL
  • 2001-03-06 → 2007-04-02
    Morgan Stanley Dw Inc.
    Delray Beach, FL
    Boca Raton, FL
    Delray Beach, FL
Other Businesses

SUNGRIA LLC / 3353 SW GOLDEN LANE PALM CITY FL 34991 / COMPANY / FOOD, BEVERAGES & TOBACCO / PRODUCE WINE COCKTAIL / PARTNER/ START DATE 06/30/2011.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-03-10
S63 Uniform Securities Agent State Law Examination 1992-11-16
  • S65 Uniform Investment Adviser Law Examination
    1994-03-10
  • S63 Uniform Securities Agent State Law Examination
    1992-11-16

View on SEC IAPD

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