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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2021-09-21
TX RA APPROVED_RES 2004-01-27
OH RA APPROVED 1999-08-16
  • FL RA
    APPROVED
    Since 2021-09-21
  • TX RA
    APPROVED_RES
    Since 2004-01-27
  • OH RA
    APPROVED
    Since 1999-08-16

Branch Locations

600 Superior Ave E. - 27Th Floor, Cleveland, OH 44114 • United States

Bonita Springs, FL • 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 Financial Services Inc. Cleveland OH 01/1995 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-10-09
S63 Uniform Securities Agent State Law Examination 1995-09-25
  • S65 Uniform Investment Adviser Law Examination
    1995-10-09
  • S63 Uniform Securities Agent State Law Examination
    1995-09-25

View on SEC IAPD

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