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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2009-09-18 |
| NC | RA | APPROVED | 2009-04-20 |
Branch Locations
380 Knollwood Street, Winston-Salem, NC 27103 • United States
Mooresville, NC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Winston-Salem | NC | 04/2009 | Present |
Ace and Tj's Grin Kids / 631-200B Brawley School Road Mooresville,NC 28117 / Other/ Other Non Profit / Childrens trip to Disney / Other / Board of Advisor (not attending meetings, just supporting the charity with attending events, inviting others and giving historical information when needed) / Attend annual event / Start Date 1/20/16 501c3 / 2) Name of Business: Pfeiffer University./ Address: PO Box 960 Misenheimer Misenheimer NCUnited States 28109./ Investment Related: No./ Nature: I am an alumni; College University Liberal Arts./ Role: Member of Board of directors./ Duty: I have suggested the Fundraising liason between the Advancement Office and the Board of Directors./ Start Date: 10/16/2020./ Time Required: Yes.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-08-23 |
| S63 | Uniform Securities Agent State Law Examination | 1993-11-03 |
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