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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2024-02-14
TX RA APPROVED 2024-02-14
WY RA APPROVED 2024-02-14
TN RA APPROVED 2023-07-19
MO RA APPROVED 2022-11-29
  • MN RA
    APPROVED
    Since 2024-02-14
  • TX RA
    APPROVED
    Since 2024-02-14
  • WY RA
    APPROVED
    Since 2024-02-14
  • TN RA
    APPROVED
    Since 2023-07-19
  • MO RA
    APPROVED
    Since 2022-11-29

Branch Locations

8027 Forsyth Blvd Suite 1010, Clayton, MO 63105 • United States

Nashville, TN • 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 St. Louis MO 05/2022 Present
Elevate Sports Ventures Santa Clara CA 01/2019 05/2022
General Specialist, Llc Nashville TN 03/2016 01/2019
  • 05/2022 → Present
    St. Louis, MO
  • 01/2019 → 05/2022
    Elevate Sports Ventures
    Santa Clara, CA
  • 03/2016 → 01/2019
    General Specialist, Llc
    Nashville, TN
Other Businesses

1) I advise Collective Hotels & Retreats, a startup venture in the hospitality industry, on matters related to brand and content marketing design. It is *not* an investment-related business. The company's address is 1800 Wazee Street, Denver, CO 80202. My title is "Advisory Board Member"; I have held the position since October 2017. Currently, I devote less than 5 hours per month to the company. 2) RISE Sports LLC, Monkton MD United States- 21111, Company, Services (Business, Professional, Support), Professional training for aspiring business leaders in the sports industry, Advisor or advisory group member if advice given may influence an officer/board, I will be asked to (1) evaluate the efficacy and quality of their training content; and (2) support networking efforts, Start date- 8/19/2024,

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-11-29
  • S66 Uniform Combined State Law Examination
    2022-11-29
Other Names
  • Thomas James Bernstein
  • Tom Bernstein
  • Thomas Bernstein

View on SEC IAPD

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