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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-07-21
IL RA APPROVED 2023-06-12
NY RA APPROVED 2022-01-20
TX RA APPROVED 2022-01-20
  • CA RA
    APPROVED
    Since 2025-07-21
  • IL RA
    APPROVED
    Since 2023-06-12
  • NY RA
    APPROVED
    Since 2022-01-20
  • TX RA
    APPROVED
    Since 2022-01-20

Branch Locations

75 280 Highway 111, Indian Wells, CA 92210 • 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
Morgan Stanley Smith Barney New York NY 06/2009 12/2021
Ubs Financial Services Inc New York NY 01/2022 Present
Previous Registrations
Other Businesses

Sole Proprietor / Owner / Partner, 01/2012, I am the landord mortgage hold real estate lic. 0 business hours and 1 hour after business 2) Ann Elisa Fredlin real estate license 10401261072 / 450 w 17th street apt 2003 new york United States10011 / Real Estate / We own real estate that is rented out. I was advised by both my lawyer and accountant to hold a real estate lic. I do not use it, however i do have one. / nothing. i have real estate investments which are rented out. there is no liability to UBS, Clients or affliates. / Start Date: 1/1/2015 3) Mah jongg / 450 w 17th streetNew YorkNew YorkUnited States10011 / i am a producer on a show that we are trying to place called Mah jongg / Television production / Pitch to productions Studios / Start Date: 8/1/2019 4) Waverly Place Apt, It is a rental apartment that we own in a condo bldg in nyc, owner i own the apartment, start date-4/18/1996, New YorkUnited States10014

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-12-28
S65 Uniform Investment Adviser Law Examination 1999-06-17
S63 Uniform Securities Agent State Law Examination 1993-12-08
  • S66 Uniform Combined State Law Examination
    2021-12-28
  • S65 Uniform Investment Adviser Law Examination
    1999-06-17
  • S63 Uniform Securities Agent State Law Examination
    1993-12-08

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