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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2024-10-09
  • NY RA
    APPROVED
    Since 2024-10-09

Branch Locations

1285 Avenue Of The Americas Floor 15 Thru 18, New York, NY 10019 • 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 Securities Llc New York NY 10/2013 09/2024
Ubs Financial Services Inc. New York NY 09/2024 Present
Other Businesses

NAME OF OTHER BUSINESS: Council 1869 / INVESTMENT RELATED?:N / ADDRESS: PO Box 366/ NATURE OF THE BUSINESS: Council 1869 is a collaborative of individuals, families, corporations, and local businesses committed to breaking the cycle of poverty and providing equitable opportunities to families living in our most under-resourced communities. We partner with the most trusted and proven programs by making high impact gifts to make noticeable and scalable change. The name Council 1869 is in recognition of the place our founding Board of Directors call home - Garden City, NY. In 1869, The Village of Garden City was established to be one of the first planned suburbs in the country. For generations, families and businesses have worked hard to make Garden City the strong and vibrant community it is today. We feel a strong sense of responsibility to deepen the positive impact that our community has on Long Island and beyond. / POSITION: Member of Board of directors / DUTIES: Council 1869 is a collaborative of individuals, families, corporations, and local businesses committed to breaking the cycle of poverty and providing equitable opportunities to families living in our most under-resourced communities. We partner with the most trusted and proven programs by making high impact gifts to make noticeable and scalable change. / START DATE: 1/12/2023/ HOURS DEVOTED TO BUSINESS:NA

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-10-08
S63 Uniform Securities Agent State Law Examination 2009-11-06
  • S66 Uniform Combined State Law Examination
    2024-10-08
  • S63 Uniform Securities Agent State Law Examination
    2009-11-06
Other Names
  • John F Keller
  • John Frederick Frederick Keller

View on SEC IAPD

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