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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-08-20
  • TX RA
    APPROVED
    Since 2024-08-20

Branch Locations

401 W 4Th Street Suite 3100, Austin, TX 78701 • United States

Austin, TX • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Austin TX 03/2013 08/2024
Morgan Stanley Private Bank, National Association New York NY 01/2015 08/2024
Ubs Financial Services Austin TX 08/2024 Present
Morgan Stanley Private Bank, N.A New York NY 01/2015 Present
  • 03/2013 → 08/2024
    Austin, TX
  • 01/2015 → 08/2024
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 08/2024 → Present
    Ubs Financial Services
    Austin, TX
  • 01/2015 → Present
    Morgan Stanley Private Bank, N.A
    New York, NY
Previous Registrations
  • 2013-05-24 → 2024-08-26
    Austin, TX
    Austin, TX
    Austin, TX
    Austin, TX
    Austin, TX
    Austin, TX
Other Businesses

AUTHOR; AUSTIN, TX; WRITTEN TWO FICTION NOVELS AND A POETRY BOOK WHICH ARE AVAILABLE TO PURCHASE; 2 HOURS AFTER BUSINESS; 0 DURING BUSINESS; JULY 2011 PPBPP1 LLC,FloridaUnited States,LLC for a second home,Real Estate,It is an LLC that with hold my Second Home,I own the house , Start date-11/10/2025, Investment -Yes Will Lawes Books,,United States,I have 3 books that are available to be bought by the publicPaper Industry, Graphics & Printing,I wrote some books and will hire someone who is not a client to turn those books into a screenplay,Proprietor / owner,I wrote the books1,Start date -11/10/2025 , Investment - Yes

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-05-23
  • S66 Uniform Combined State Law Examination
    2013-05-23

View on SEC IAPD

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