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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 1995-03-17
TX RA APPROVED_RES 1995-01-28
  • VA RA
    APPROVED
    Since 1995-03-17
  • TX RA
    APPROVED_RES
    Since 1995-01-28

Branch Locations

Virgina Beach, VA • United States

Wells Fargo Center/ 440 Monticello Avenue Suite 2000, Norfolk, VA 23510 • 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 Inc. Norfolk VA 01/1995 Present
#Ia Painewebber Incorporated Norfolk VA 03/1995 Present
Other Businesses

1) central business district assn. / one columbus center, virginia beach, va 23462 / Association (i.e., Trade or Industry, Sport...) / Services (Business, Professional, Support) / support business district / Member of Board of Directors / board member to provide advise / Start Date: 4/3/2017 / 8 hours // 2) whro public broadcasting / norfolk, va / bert schmidt public education / No / Member of a board committee with management or supervisory functions / board of directors / Start Date 06/01/2017 / Appointed // 3) virginia beach library foundation / virginia beach blvd, virginia beach, va 23454 / Charity / support community library / Treasurer / Start date: 6/1/2021 / Investment-related: No

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1991-08-30
S63 Uniform Securities Agent State Law Examination 1979-11-07
  • S65 Uniform Investment Adviser Law Examination
    1991-08-30
  • S63 Uniform Securities Agent State Law Examination
    1979-11-07

View on SEC IAPD

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