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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 2018-10-04
MO RA APPROVED 1995-08-02
  • TX RA
    APPROVED_RES
    Since 2018-10-04
  • MO RA
    APPROVED
    Since 1995-08-02

Branch Locations

8027 Forsyth Blvd Suite 1010, Clayton, MO 63105 • United States

Cotuit, MA • United States

St. Louis, MO • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. St. Louis MO 01/1995 Present
Other Businesses

Mancicni; Trust; Business Activity: investing; Trustee; Compensation: Yes

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-02-04
S63 Uniform Securities Agent State Law Examination 1980-02-14
  • S65 Uniform Investment Adviser Law Examination
    1992-02-04
  • S63 Uniform Securities Agent State Law Examination
    1980-02-14
Other Names
  • Leo B Schmid

View on SEC IAPD

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