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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2022-03-09
NY RA APPROVED 2022-02-09
  • CT RA
    APPROVED
    Since 2022-03-09
  • NY RA
    APPROVED
    Since 2022-02-09

Branch Locations

600 Washington Blvd 9Th Floor, Stamford, CT 06901 • United States

New York, NY • 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
Lpl Financial Llc La Jolla CA 01/2014 10/2016
Neuberger Berman New York NY 11/2016 05/2018
Jpmorgan Chase Bank, N.A. New York NY 07/2018 01/2022
Jpmorgan Securities, Llc. New York NY 07/2018 01/2022
Ubs Financial Services Inc Stamford CT 01/2022 Present
  • 01/2014 → 10/2016
    La Jolla, CA
  • 11/2016 → 05/2018
    Neuberger Berman
    New York, NY
  • 07/2018 → 01/2022
    Jpmorgan Chase Bank, N.A.
    New York, NY
  • 07/2018 → 01/2022
    Jpmorgan Securities, Llc.
    New York, NY
  • 01/2022 → Present
    Stamford, CT
Previous Registrations
Other Businesses

1) Name of business: Wall Street Girl Next Door./ Address: 444 E 82nd St New York NY./ Investment Related: No./ Role: I am the only member of this organization. The main role is to develop relationships./ Start Date: 3/27/2023./ Time Required: No.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-06-28
  • S66 Uniform Combined State Law Examination
    2016-06-28

View on SEC IAPD

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