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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
LA RA APPROVED 2015-12-22
TX RA APPROVED_RES 1996-04-12
  • LA RA
    APPROVED
    Since 2015-12-22
  • TX RA
    APPROVED_RES
    Since 1996-04-12

Branch Locations

201 Settlers Trace Boulevard Suite 3004, Lafayette, LA 70508 • 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. Lafayette LA 01/1996 Present
Other Businesses

DUCKS UNLIMITED INC / ONE WATERFOWL WAY MEMPHIS,TENNESSEE 70503 / OTHER/ CHARITIES, CULTURAL, EDUCATIONAL & POLITICAL ORGANISATIONS / WETLANDS CONSERVATION / STATE MAJOR DONOR CHAIRMAN LOUISIANA / ASSIST LOCAL CHAPTERS IN FUNDRAISING / START DATE 1/1/2013. Ducks Unlimited Inc / 1 Waterfowl Way Memphis,TN 38120 / Other/ Other Wetlands conservation / Wetlands conservation and restoration / Member of Board of Directors / / Participate in annual board meetings / Start Date Non-profit6/4/16 / JBO Enterprises, LLC/Company/Business Investments/ Role -Officer/ Duty -Manager of single member LLC/ Compensation- No

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-05-08
S63 Uniform Securities Agent State Law Examination 1996-04-11
  • S65 Uniform Investment Adviser Law Examination
    1996-05-08
  • S63 Uniform Securities Agent State Law Examination
    1996-04-11

View on SEC IAPD

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