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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| SC | RA | APPROVED | 2014-05-05 |
| TX | RA | APPROVED_RES | 2000-10-12 |
| CT | RA | APPROVED | 1996-10-17 |
Branch Locations
600 Washington Blvd 9Th Floor, Stamford, CT 06901 • United States
17 West Mcbee Ave Poinsett Plaza, Greenville, SC 29601 • United States
100 West Putnam Avenue 2Nd Floor, Greenwich, CT 06830 • United States
Greer, SC • 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. | Stamford | CT | 08/1993 | Present |
NAME OF OTHER BUSINESS: Union League Club of NYC/ INVESTMENT RELATED?:No / ADDRESS: 38 E 37th St, New York/ NATURE OF THE BUSINESS: Private Social Club, Services (Business, Professional, Support) / POSITION: Member of a committee representing the interests of any third party / DUTIES: help provide oversight of a defined benefit plan and a 401k for the employees of the club./ START DATE: 04/01/2021/ HOURS DEVOTED TO BUSINESS: NA 2)Union League Club of NYC,New York,United States,Private Social ClubServices (Business, Professional, Support),Social Gatherings,Member of a committee representing the interests of any third party,help provide oversight of a defined benefit plan and a 401k for the employees of the club. Start date -4/1/2021
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1996-06-13 |
| S65 | Uniform Investment Adviser Law Examination | 1996-02-20 |
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