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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 2009-03-05
FL RA APPROVED 2005-04-04
  • TX RA
    APPROVED_RES
    Since 2009-03-05
  • FL RA
    APPROVED
    Since 2005-04-04

Branch Locations

1800 North Military Trail Suite 300, Boca Raton, FL 33431 • United States

5100 Town Center Circle_ Tower 2 - 6Th Floor, Boca Raton, FL 33486 • 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 Boca Raton FL 03/2005 Present
  • 03/2005 → Present
    Ubs Financial Services
    Boca Raton, FL
Previous Registrations
  • 1996-07-16 → 2005-04-07
    A. G. Edwards & Sons, Inc.
    Boynton Beach, FL
Other Businesses

1. BLOOMFIELD CONSTRUCTION, INC, Boca Raton FL United States-33432, Company, Real Estate, BLOOMFIELD CONSTRUCTION, INC. is a real estate development firm which builds private residential construction projects in Palm Beach County, FL, Officer, The Corporation is solely owned by FA's Father. FA will be listed as Vice President by a corporate resolution for the sole purpose of stepping in to handle executive responsibilities for the businesses in the event of his death or incapacity. She would only act as an officer if needed at some time in the future to sign contracts, pay bills or transfer funds for the corporation to complete any residential projects that are in progress. She would have no duties or responsibilities at the present time, START DATE- 9/30/2024 2. ROYAL PALM BROKERAGE, INC, Boca Raton FL United States33432, Company, Real Estate, The real estate Brokerage firm ROYAL PALM BROKERAGE, INC. is used by the owner as the real estate agency to buy or sell properties from time to time, and it does not have any assets, Officer, The Corporation is solely owned by FA's father. FA will be listed as Vice President by a corporate resolution for the sole purpose of stepping in to handle executive responsibilities for the businesses in the event of his death or incapacity. This is a real estate brokerage firm that exists only to act as the broker for buying and selling real estate in Palm Beach County, FL from time to time, and it does not have any assets. The FA will not be the real estate broker. She would only act as an officer if needed at some time in the future to sign contracts or pay bills, start date-9/30/2024. 3. Delray Beach Public LIbrary, Provide books and resources for the Delray Beach community, and provide educational programs to the residents, Member of Board of directors, Help with fundraising events, review financial statements, provide oversight for the Library employees, start date-6/1/2014, Atlantic AvenueDelray Beach FL United States-33444

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1996-05-24
  • S63 Uniform Securities Agent State Law Examination
    1996-05-24
Other Names
  • Colleen Regina Hasey

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