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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 2021-03-16
MD RA APPROVED 2009-03-05
  • TX RA
    APPROVED_RES
    Since 2021-03-16
  • MD RA
    APPROVED
    Since 2009-03-05

Branch Locations

307 International Circle, Hunt Valley, MD 21031 • 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
Ubs Financial Services Inc Hunt Valley MD 03/2009 Present
Previous Registrations
  • 2006-02-21 → 2009-04-01
    Hunt Valley, MD
    New York, NY
    Hunt Valley, MD
  • 1996-01-18 → 2006-02-21
    Legg Mason Wood Walker, Incorporated
    Hunt Valley, MD
Other Businesses

1. The Friends School of Baltimore, K through 12 education, Board of trustee member, All things related to the school, start date-5/1/2024, BaltimoreMaryland United States-21210

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-04-05
S63 Uniform Securities Agent State Law Examination 1994-03-23
  • S65 Uniform Investment Adviser Law Examination
    1994-04-05
  • S63 Uniform Securities Agent State Law Examination
    1994-03-23

View on SEC IAPD

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