David Anthony Giffen

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2009-07-22

NJ RA
APPROVED

Since 2009-07-22

Branch Locations

Lincoln Harbor 1000 & 1200 Lincoln Harbor Blvd, Weehawken, NJ 07086 • United States

River Edge, NJ • 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
Ubs Financial Services, Inc.	Weekhaken	NJ	02/2006	Present

02/2006 → Present

Ubs Financial Services, Inc.

Weekhaken, NJ

Other Businesses

1. Money Management Institute, Industry association representing financial services firms that provide financial advice and investment advisory solutions to investors, Member of Board of directors, Board of Governors, start date-3/29/2023, New YorkUnited States-10018.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2009-07-21

S66 Uniform Combined State Law Examination

2009-07-21