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Alexander Earl Kaye

Ubs Financial Services Inc.

Wellesley, MA

New York, NY

New York, NY

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2024-10-22
CA RA APPROVED 2024-10-10
  • NY RA
    APPROVED
    Since 2024-10-22
  • CA RA
    APPROVED
    Since 2024-10-10

Branch Locations

55 William Street Wellesley Office Park, Wellesley, MA 02481-4003 • United States

New York, NY • United States

1285 Avenue Of The Americas 19Th Floor, 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
Mcmorgan & Company Capital Advisors Llc San Francisco CA 03/2014 04/2020
Mcmorgan & Company Llc San Francisco CA 08/2014 04/2020
Kwd Consulting San Francisco CA 04/2020 04/2021
Planmember Securities Corporation Carpinteria CA 04/2021 06/2023
Kwd Consulting New York NY 06/2023 04/2024
Masterworks Advisors New York NY 04/2024 08/2024
Ubs New York NY 10/2024 Present
  • 03/2014 → 04/2020
    Mcmorgan & Company Capital Advisors Llc
    San Francisco, CA
  • 08/2014 → 04/2020
    Mcmorgan & Company Llc
    San Francisco, CA
  • 04/2020 → 04/2021
    Kwd Consulting
    San Francisco, CA
  • 04/2021 → 06/2023
    Planmember Securities Corporation
    Carpinteria, CA
  • 06/2023 → 04/2024
    Kwd Consulting
    New York, NY
  • 04/2024 → 08/2024
    Masterworks Advisors
    New York, NY
  • 10/2024 → Present
    Ubs
    New York, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-09-12
  • S66 Uniform Combined State Law Examination
    2012-09-12

View on SEC IAPD

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Other Investors

JEFFREY CHARLES SMITH
CHRISTOPHER KARL GAFFNEY
SHAUN PATRICK THOMPSON
NEEL K. TIKU
ROBERTO MARIO PANDOLFI
ROBERT STEPHEN ROSELLI
PRAN NATH TIKU
EZRA EDDIE SHAMMAY

Other Offices

PEAK FINANCIAL MANAGEMENT INC · WELLESLEY, MA
EQUITABLE ADVISORS, LLC · WELLESLEY, MA
FOCUS PARTNERS WEALTH, LLC · Wellesley, MA
FOCUS PARTNERS WEALTH, LLC · Wellessley, MA
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · WELLESLEY, MA
FOCUS PARTNERS WEALTH, LLC · Wellesley, MA
FOCUS PARTNERS WEALTH, LLC · Wellelsey, MA
MORGAN STANLEY · Wellesley, MA

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