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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-10-26
TX RA APPROVED_RES 2012-03-01
  • NY RA
    APPROVED
    Since 2021-10-26
  • TX RA
    APPROVED_RES
    Since 2012-03-01

Branch Locations

One Jericho Plaza Suit 205, Jericho, NY 11753 • United States

Port Washington, NY • 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 Jericho NY 07/2015 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-04-13
S63 Uniform Securities Agent State Law Examination 1994-12-28
  • S65 Uniform Investment Adviser Law Examination
    1995-04-13
  • S63 Uniform Securities Agent State Law Examination
    1994-12-28

View on SEC IAPD

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