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Alexander Brooks Cass

Ubs Financial Services Inc.

New York, NY

Roxbury, CT

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2025-08-19
NY RA APPROVED 2021-10-26
NJ RA APPROVED 2015-12-09
  • CT RA
    APPROVED
    Since 2025-08-19
  • NY RA
    APPROVED
    Since 2021-10-26
  • NJ RA
    APPROVED
    Since 2015-12-09

Branch Locations

299 Park Ave 8Th, 9Th 11Th Floor, New York, NY 10171 • United States

Roxbury, CT • 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. New York NY 12/2015 Present
Previous Registrations
  • 2010-09-03 → 2015-12-28
    Credit Suisse Securities (Usa) Llc
    New York, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-08-31
  • S66 Uniform Combined State Law Examination
    2010-08-31
Other Names
  • Alexander Cass

View on SEC IAPD

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