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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2012-02-24 |
| WA | RA | APPROVED | 2011-08-18 |
Branch Locations
925 Fourth Avenue 31St & 32Nd Floor, Seattle, WA 98104 • United States
Sw Seattle, WA • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Seattle | WA | 08/2011 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-08-31 |
| S63 | Uniform Securities Agent State Law Examination | 1993-08-12 |
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