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Brian Lacks

Ubs Financial Services Inc.

Melville, NY

Boca Raton, FL

Woodbury, NY

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2021-08-30
NY RA APPROVED 2021-08-17
TX RA APPROVED 2021-08-17
  • FL RA
    APPROVED
    Since 2021-08-30
  • NY RA
    APPROVED
    Since 2021-08-17
  • TX RA
    APPROVED
    Since 2021-08-17

Branch Locations

58 South Service Road Suite 310, Melville, NY 11747 • United States

Boca Raton, FL • United States

Woodbury, NY • 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 Melville NY 12/2008 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-08-17
S63 Uniform Securities Agent State Law Examination 1992-10-05
S65 Uniform Investment Adviser Law Examination 1992-10-05
  • S66 Uniform Combined State Law Examination
    2021-08-17
  • S63 Uniform Securities Agent State Law Examination
    1992-10-05
  • S65 Uniform Investment Adviser Law Examination
    1992-10-05

View on SEC IAPD

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