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Marc J Mosher

Ubs Financial Services Inc.

Oakbrook Terrace, IL

Chicago, IL

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2019-03-18
  • IL RA
    APPROVED
    Since 2019-03-18

Branch Locations

1 Tower Lane-Ste 1700 Oakbrook Terrace Tower, Oakbrook Terrace, IL 60181 • United States

One North Wacker Drive Ste 3300, Chicago, IL 60606 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Oak Brook IL 11/2013 03/2019
Bank Of America, N.A. Oak Brook IL 11/2013 03/2019
Ubs Financial Services Inc Chicago IL 03/2019 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-02-05
S63 Uniform Securities Agent State Law Examination 2000-08-04
  • S66 Uniform Combined State Law Examination
    2014-02-05
  • S63 Uniform Securities Agent State Law Examination
    2000-08-04
Designations
Other Names
  • Marc J Mosher
  • Marc John Mosher

View on SEC IAPD

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Other Offices

NORTHERN TRUST SECURITIES, INC. · OAKBROOK TERRACE, IL
UBS FINANCIAL SERVICES INC. · OAKBROOK TERRACE, IL
EDELMAN FINANCIAL ENGINES · OAKBROOK TERRACE, IL
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AMERIPRISE FINANCIAL SERVICES, LLC · Oakbrook Terrace, IL
B. RILEY WEALTH ADVISORS, INC. · OAKBROOK TERRACE, IL
UBS FINANCIAL SERVICES INC. · OAKBROOK TERRAC, IL
LPL FINANCIAL LLC · OAKBROOK TERRACE, IL

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