Shawn Corey Healy

Ubs Financial Services Inc.

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Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2018-08-20
TX	RA	APPROVED	2018-08-10

NJ RA
APPROVED

Since 2018-08-20
TX RA
APPROVED

Since 2018-08-10

Branch Locations

184 Liberty Corner Road Suite 101, Warren, NJ 07059 • 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

Organization	City	State	From	To
Jpmorgan Chase Bank	Madison	NJ	07/2016	07/2018
Jpmorgan Securities Llc	Madison	NJ	07/2016	07/2018
Ubs Financial Services Inc.	Warren	NJ	07/2018	Present

07/2016 → 07/2018

Jpmorgan Chase Bank

Madison, NJ
07/2016 → 07/2018

Jpmorgan Securities Llc

Madison, NJ
07/2018 → Present

Ubs Financial Services Inc.

Warren, NJ

Previous Registrations

2016-08-04 → 2018-07-19

J.P. Morgan Securities Llc

Madison, NJ

Whippany, NJ
2015-03-03 → 2016-07-15

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Flanders, NJ

Chester, NJ

Flanders, NJ

Cranford, NJ

Flanders, NJ

Chester, NJ
2012-12-03 → 2015-02-18

Pnc Wealth Management Llc

Randolph, NJ

Clinton, NJ

Morristown, NJ

Hackettstown, NJ
2011-02-21 → 2012-11-02

Wells Fargo Clearing Services, Llc

Mountain Lakes, NJ

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2011-02-18
S63	Uniform Securities Agent State Law Examination	2011-01-07

S65 Uniform Investment Adviser Law Examination

2011-02-18
S63 Uniform Securities Agent State Law Examination

2011-01-07

Other Names

Shawn Healy

View on SEC IAPD

Other Firms

MML INVESTORS SERVICES, LLC

SACKS & ASSOCIATES, LLC

CAPITAL ENHANCEMENT, LLC

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

FIRST PRINCIPLES INVESTMENT MANAGER LLC

Other Investors

RICHARD FRIAGLIA

DENNIS JAMES QUINN

HARRY MC ENNIS HARRIS

Kaden William Pickering

MICHAEL VESUVIO

JEFFREY PAUL DURR

Other Offices

MML INVESTORS SERVICES, LLC · Warren, NJ

SACKS & ASSOCIATES, LLC · WARREN, NJ

CAPTRUST · Warren, NJ

MORGAN STANLEY · Warren, NJ

CAPITAL ENHANCEMENT, LLC · WARREN, NJ

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC · WARREN, NJ

MML INVESTORS SERVICES, LLC · Warren, NJ

MML INVESTORS SERVICES, LLC · Warren, NJ

More in Warren, NJ

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