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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2024-04-04 |
| TX | RA | APPROVED_RES | 2013-08-01 |
| OH | RA | APPROVED | 2005-05-31 |
Branch Locations
2055 Crocker Road, Westlake, OH 44145 • United States
Litchfield Park, AZ • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services | Cleveland | OH | 05/2005 | Present |
1/1/2019 Retirement Advisor Council / 61 Rainbow Road East Granby,Connecticut 06026 / Association (e.g. Trade or Industry, Sport)/ Financial (Consumer & Investment Services)To identify and share trends and best practices within the 401(k) industry and retirement plan focused advisors. Member of a committee representing the interests of any third party I am asked to participate in one meeting per year and to contribute to a subcommittee regarding a topic of interest in the 401(k) industry
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-10-02 |
| S63 | Uniform Securities Agent State Law Examination | 1995-09-08 |
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