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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-10-18
RI RA APPROVED 2016-01-19
  • TX RA
    APPROVED_RES
    Since 2021-10-18
  • RI RA
    APPROVED
    Since 2016-01-19

Branch Locations

130 Bellevue Avenue Suite 301, Newport, RI 02840 • United States

500 Exchange Street Suite 1210, Providence, RI 02903 • 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
Ubs Financial Services Newport RI 03/2014 Present
  • 03/2014 → Present
    Ubs Financial Services
    Newport, RI
Other Businesses

James Patrick Stowe Fund (Massachussetts General Hospital) / 55 Fruit Street Boston,Massachussetts United States 02114 / Charity/ Charity / This fund was started in loving memory of James Patrick Stowe who passed away last year at 24 years old after a 3+ year battle with testicular cancer. One of his last wishes prior to his passing was that his friends and family work to aid research in this terrible disease so that a cure can be found and people don't have to go through the same complications that he went through. It is a small charity that aids funding for the research done by Dr. Philip Saylor at Mass General. / Other / Vice-Chairman / I work with other volunteers to put together an annual golf tournament (started September 2018) to raise money to aid research in testicular cancer / Start Date 9/15/18 2) Fort Adams/ADDRESS: 90 Fort Adams Drive, Newport,Rhode Island,U.S./NATURE OF BUSINESS: Fort Adams is a historic Army Fort built in 1799 and is now a place for tours and events within the local community. The entity organizes events to shine a light on a great, historic part of Newport while working to renovate and fix the broken down areas of the fort./POSITION:Member of Board of directors/DUTIES: I work with the other Board members to continue to help the fort's renovation and organization of events and tours./START DATE: 4/19/2023.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-01-19
  • S66 Uniform Combined State Law Examination
    2016-01-19

View on SEC IAPD

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