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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APP_PEND_IARCE | 2026-01-01 |
| TX | RA | APPROVED_RES | 2008-09-15 |
| CT | RA | APPROVED | 2008-08-28 |
Branch Locations
600 Washington Blvd 9Th Floor, Stamford, CT 06901 • United States
Darien, CT • 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 | 08/2008 | Present |
1) Friends of Gorhams Pond investment related?: no/ Darien, CT, 06820/maintenance fund for Gorhams Pond/Member of Board of directors/maintain the books with regard to very small revenue (less than $10,000./7/1/2021/ time reqd during work hours? no
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1994-11-11 |
| S65 | Uniform Investment Adviser Law Examination | 1994-11-11 |
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