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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2012-01-20
MI RA APPROVED 2010-10-08
  • TX RA
    APPROVED_RES
    Since 2012-01-20
  • MI RA
    APPROVED
    Since 2010-10-08

Branch Locations

Ann Arbor, MI • United States

730 Penniman Avenue, Plymouth, MI 48170 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Finacial Services Inc. Plymouth MI 09/2003 Present
Ubs Financial Services Inc. Plymouth MI 01/1993 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-03-15
  • S66 Uniform Combined State Law Examination
    2004-03-15

View on SEC IAPD

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