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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
DC RA APPROVED 2022-10-04
FL RA APPROVED 2022-09-27
AR RA APPROVED 2022-09-26
SC RA APPROVED 2022-09-26
TX RA APPROVED 2022-09-26
VA RA APPROVED 2022-09-26
  • DC RA
    APPROVED
    Since 2022-10-04
  • FL RA
    APPROVED
    Since 2022-09-27
  • AR RA
    APPROVED
    Since 2022-09-26
  • SC RA
    APPROVED
    Since 2022-09-26
  • TX RA
    APPROVED
    Since 2022-09-26
  • VA RA
    APPROVED
    Since 2022-09-26

Branch Locations

1700 M Street Nw 5Th Floor, Washington, DC 20036 • United States

Hilton Head Island, SC • 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 Washington DC 06/1994 Present
Bank Of America,Na Washington DC 09/2009 09/2022
Ubs Financial Services Washington DC 09/2022 Present
Previous Registrations
Other Businesses

1) Name of Business: The Old Guard association./ Address: P.O. Box 1785 Fort Myer VA United States 22211./ Investment Related: No./ Nature: "To establish a permanent organization and further develop the common bond existing between all who have served with the 3d United States Infantry Regiment (The Old Guard). To maintain public records and publish the history and achievements of The Old Guard. To be of assistance and service in matters pertaining to veterans of The Old Guard. To perpetuate the memory of our deceased veterans of The Old Guard. To maintain close liaison with the active duty members of The Old Guard currently serving in the National Capital Region. To recognize outstanding Old Guard achievements with appropriate presentations. To publish a newsletter titled PRIDE to further TOGA's mission./ Role: Officer./ Duty: Finance Officer. assist the treasurer as needed./ Start Date: 1/15/2024./ Time Required: N/A.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-08-25
S63 Uniform Securities Agent State Law Examination 1994-08-17
  • S65 Uniform Investment Adviser Law Examination
    1994-08-25
  • S63 Uniform Securities Agent State Law Examination
    1994-08-17
Other Names
  • Scott Dennis Fitzenreiter

View on SEC IAPD

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