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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-08-19 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley | Boston | MA | 05/2016 | 03/2024 |
| Rbc Capital Markets, Llc | Boston | MA | 03/2024 | 07/2026 |
| Ubs Financial Services, Inc. | Boston | MA | 08/2026 | Present |
(1) NAME OF ENTITY: Financial Industry Regulatory Authority, Inc. ADDRESS: 200 Liberty Street, New York, NY 10281 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Trade Association START DATE: May 11, 2026 CAPACITY: Other DUTIES: Arbitrator - Serve as an arbitrator for FINRA disputes on a volunteer basis HOURS DEVOTED PER MONTH: 10 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 10
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-12-20 |
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