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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2021-10-08
NJ RA APPROVED 2008-10-30
TX RA APPROVED 2008-10-30
  • FL RA
    APPROVED
    Since 2021-10-08
  • NJ RA
    APPROVED
    Since 2008-10-30
  • TX RA
    APPROVED
    Since 2008-10-30

Branch Locations

1337 Tilton Road, Northfield, NJ 08225 • 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 Northfield NJ 10/2008 Present
Previous Registrations
Other Businesses

1. Seashore Gardens Living Center and Seashore Gardens Foundation22 W Jimmie Leeds RdGalloway Twp, NJ 08205, "religious based not-for-profit nursing home 501(c)3", President, start date-11/1/2008. 2. Jewish Community Center, Civic health and community center, Advisor or advisory group member if advice given may influence an officer/boardInvestment committee member, start date-.7/29/2013, NJ USA08402

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-08-25
S63 Uniform Securities Agent State Law Examination 1995-08-16
  • S65 Uniform Investment Adviser Law Examination
    1995-08-25
  • S63 Uniform Securities Agent State Law Examination
    1995-08-16
Designations
Other Names
  • Richard J Cohen

View on SEC IAPD

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