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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2003-11-20
  • FL RA
    APPROVED
    Since 2003-11-20

Branch Locations

401 East Las Olas Bvd Ste.2300, Fort Lauderdale, FL 33301 • United States

401 East Las Olas Blvd Suite 2300 - Las Olas Centre, Ft. Lauderdale, FL 33301 • United States

401 East Las Olas Boulevard Las Olas Centre, Ft. Lauderdale, FL 33301 • 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. Ft. Lauderdale FL 06/2006 Present
Other Businesses

1. Aguas Serenas LLC, MiramarFL United States-33027, Company, family LLC for estate planning purposes - register personal property - boat & vehicles, Managing Memberfiling of the state required reporting, start date-4/18/2025, Investment related-Yes.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-11-13
S63 Uniform Securities Agent State Law Examination 2000-08-25
  • S66 Uniform Combined State Law Examination
    2003-11-13
  • S63 Uniform Securities Agent State Law Examination
    2000-08-25
Other Names
  • Julene Vivette Richards

View on SEC IAPD

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