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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TN | RA | APPROVED | 2004-01-27 |
| TX | RA | APPROVED_RES | 2001-01-18 |
Branch Locations
3102 West End Avenue Suite 500, Nashville, TN 37203-6017 • United States
800 South Gay Street Suite 2600, Knoxville, TN 37929 • United States
Nashville, TN • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Nashville | TN | 08/2000 | Present |
1) LOMBARDY FARMS LLC; EMPORIA LLC., PIERSON, FL 32180. NOT INVESTMENT RELATED. BUSINESS - LOMBARDY FARMS IS CITRUS AND FERN. EMPORIA FARMS IS GIFT FRUIT PACKING AND FERN BOUGHT IN OCTOBER OF 2004. TITLE - CO-OWNER AND SECRETARY FOR BOTH. START DATE - 01/07/2004. ONE HOUR OR LESS PER MONTH. 2) Rosemary Lombardy / 208 Lauderdale Road Nashville,Tennessee 37205 / No/ Privately Held / USD / No / No / / Start Date 08/29/2016 / LESS THAN 30 MINUTES PER WEEK. DUTIES - WRITE 2 OR 3 CHECKS PER MONTH. REVIEW AND SIGN LLC RETURNS. Breaking Bonds: How to Divorce an Abuser and Heal--A Survival Guide (self-help book) / "I wrote a self-help book on divorce for abused women, I hired a marketing person to help me develop and maintain a website to provide resources for abused women"/ 208 Lauderdale Road Nashville,Tennessee 37205 / www.breakingbonds.com / author / Privately Held / USD / book was self-published February 8, 2019, a website for women to post blogs and links to other websites with resources and support will be provided / Start Date 08/29/2016 /
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-11-08 |
| S63 | Uniform Securities Agent State Law Examination | 1984-07-20 |
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