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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 2025-09-23
MI RA APPROVED 2010-10-05
  • TX RA
    APPROVED_RES
    Since 2025-09-23
  • MI RA
    APPROVED
    Since 2010-10-05

Branch Locations

945 West Norton Ave., Muskegon, MI 49441-4175 • United States

945 West Norton Avenue, Muskegon, MI 49441 • 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. Muskegon MI 11/1995 Present
Other Businesses

MUSKEGON COUNTY COMMUNITY CORRECTION ADVISORY BOARD/990 TERRACE STREET SUITE 416 MUSKEGON 49441/ PROVIDE PROGRAMS FOR CRIMINAL OFFENDERS AND WORKS TO COMBAT JAIL OVERCROWDING / START DATE 2/24/2014

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-01-26
S63 Uniform Securities Agent State Law Examination 1996-01-25
  • S65 Uniform Investment Adviser Law Examination
    1996-01-26
  • S63 Uniform Securities Agent State Law Examination
    1996-01-25

View on SEC IAPD

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