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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2010-07-16
CA RA APPROVED 2007-02-09
OH RA APPROVED 2007-02-09
  • TX RA
    APPROVED_RES
    Since 2010-07-16
  • CA RA
    APPROVED
    Since 2007-02-09
  • OH RA
    APPROVED
    Since 2007-02-09

Branch Locations

8044 Montgomery Road The Towers At Kenwood, Cincinnati, OH 45236 • 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 Cincinnati OH 11/2013 Present
Previous Registrations
  • 2006-10-31 → 2007-02-09
    Keybanc Capital Markets Inc.
    Cincinnati, OH
  • 2002-07-31 → 2004-08-04
    Cincinnati, OH
Other Businesses

Every Child Succeeds / 3440 Burnet Avenue Cincinnati,Ohio 45229 / Charity/ Charity / Every Child Succeeds delivers evidence-based home visitation services in Ohio and Kentucky. ECS is part of Help Me Grow and follows the Healthy Families America model in Ohio, and follows the HANDS model in Kentucky. / Member of Board of directors / / Participation on monthly board meetings. / Start Date 1/17/2019 /

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-10-30
  • S66 Uniform Combined State Law Examination
    2006-10-30

View on SEC IAPD

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