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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 2022-01-10
FL RA APPROVED 2021-10-13
NC RA APPROVED 2017-08-17
  • TX RA
    APPROVED_RES
    Since 2022-01-10
  • FL RA
    APPROVED
    Since 2021-10-13
  • NC RA
    APPROVED
    Since 2017-08-17

Branch Locations

201 N. New York Avenue 3Rd Floor, Winter Park, FL 32789 • 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
Wagon Wheel Flea Market Pinellas Park FL 06/2010 05/2017
Ubs Financial Services Inc. St. Petersburg FL 07/2014 05/2017
Ubs Financial Services Inc. Charlotte NC 05/2017 Present
University Of Central Florida Orlando FL 05/2013 05/2017
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-06-17
S63 Uniform Securities Agent State Law Examination 2016-07-21
  • S65 Uniform Investment Adviser Law Examination
    2017-06-17
  • S63 Uniform Securities Agent State Law Examination
    2016-07-21

View on SEC IAPD

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