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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
NJ RA APPROVED 2015-11-06
  • NY RA
    APPROVED
    Since 2021-10-26
  • NJ RA
    APPROVED
    Since 2015-11-06

Branch Locations

1285 Avenue Of The Americas, New York, NY 10019 • United States

1200 Harbor Boulevard, Weehawken, NJ 07086 • UNITED STATES

Middletown, NJ • 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 New York NY 10/2015 06/2018
Ubs New York NY 07/2018 Present
  • 10/2015 → 06/2018
    Ubs
    New York, NY
  • 07/2018 → Present
    Ubs
    New York, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-11-04
S63 Uniform Securities Agent State Law Examination 2005-11-29
  • S66 Uniform Combined State Law Examination
    2015-11-04
  • S63 Uniform Securities Agent State Law Examination
    2005-11-29

View on SEC IAPD

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