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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-04-25
FL RA APPROVED 2010-01-01
  • TX RA
    APPROVED_RES
    Since 2023-04-25
  • FL RA
    APPROVED
    Since 2010-01-01

Branch Locations

4225 Ponce De Leon Blvd Suite 600, Coral Gables, FL 33146 • United States

Key Biscayne, 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 International, Inc. Coral Gables FL 11/2002 Present
Ubs Financial Services Inc. Coral Gables FL 01/2010 Present
Previous Registrations
  • 2002-12-16 → 2010-01-01
    Ubs International Inc.
    Coral Gables, FL
    Coral Gables, FL
Other Businesses

1)WORLD TEL FAX ELECTRONICS-BOARD MEMBER-TELECOMUNICATIONS VALUE ADDED SERVICES-1-2 DAYS PER MONTH-NON-SECURITIES RELATED-NON-TRADING HOURS. 2)LUMAFRA LLC / BISCAYNE FL 33149 / / REAL ESTATE / PURCHASE AND LEASE REAL ESTATE / OOWNER AND MANAGER / START DATE 12/14/2010. 3)OLIMPO CONSULTING & TRADING CORP / 53RD E STREET, URBANIZACION MARBELLA, MMG TOWER, 16TH FLOOR CIUDAD DE PANAMA COMPANY / REAL ESTATE / OWNS AND LEASES REAL ESTATE / MEMBER OF BOARD OF DIRECTORS/ START DATE 12/02/2010. 4)Inforworld International Corp/Company/Principal Business Activity - owns shares in WTFE C.A./ Role - Member of Board of directors/ Duty - Director/ Comp - No

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-12-12
  • S66 Uniform Combined State Law Examination
    2002-12-12

View on SEC IAPD

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