Mark David Harbaugh

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2023-08-22
FL	RA	APPROVED	2023-05-17
TX	RA	APPROVED_RES	2018-09-12
NJ	RA	APPROVED	2002-07-22

NC RA
APPROVED

Since 2023-08-22
FL RA
APPROVED

Since 2023-05-17
TX RA
APPROVED_RES

Since 2018-09-12
NJ RA
APPROVED

Since 2002-07-22

Branch Locations

Tequest, FL • United States

109 North Avenue, Westfield, NJ 07090 • 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

Organization	City	State	From	To
Ubs Financial Services Inc.	Westfield	NJ	03/1996	Present

03/1996 → Present

Ubs Financial Services Inc.

Westfield, NJ

Other Businesses

THE ESTATE OF KAREEM ROSENBERG, 32 KENMUIR AVENUE, MORRISTOWN, NEW JERSEY 09760 EXECUTOR FOR KAREEM ROSENBERG 9/8/08 EXECUTOR 6 HOURS PER MONTH.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1986-04-04

S63 Uniform Securities Agent State Law Examination

1986-04-04