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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-02-07
IL RA APPROVED 2022-08-12
TX RA APPROVED_RES 2005-06-09
NJ RA APPROVED 2002-05-23
  • CA RA
    APPROVED
    Since 2024-02-07
  • IL RA
    APPROVED
    Since 2022-08-12
  • TX RA
    APPROVED_RES
    Since 2005-06-09
  • NJ RA
    APPROVED
    Since 2002-05-23

Branch Locations

Chicago, IL • United States

1337 Tilton Road, Northfield, NJ 08225 • United States

1909 New Road, Northfield, NJ 08225 • 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. Northfield NJ 02/2001 Present
Other Businesses

1) NASD; 1735 K ST. NW, WASH. DC,20006; ARBITRATOR; START 11/95; I AM AN INDUSTRY ARBITRATOR; APPROX TIME PER MONTH APPROX 1-2 HRS; 1 HR EVERY COUPLE MONTHS DURING TRADING HOURS /// 2) NYSE ARBITRATOR; SAME AS ABOVE, EXCEPT STARTED 1/03; I HAVEN'T SAT ON ANY CASES TO DATE; THEREFORE I HAVEN'T SPENT ANYTHING IN THIS ENDEAVOR; HOWEVER, I MAY IN FUTURE; ADDRESS IS NYC /// 3) MUSICIAN; I USED TO PLAY MUSIC ON A REGULAR BASIS (IE: WEDDINGS, SHOWS,PARTIES ETC.) I HAVEN'T FOR SEVERAL YEARS; HOWEVER I DO VOLUNTEER WITH A COUPLE OF COMMUNITY THEATER GROUPS; AND ON OCCASION THEY PAY ME (MINIMALLY) /// 4) DEAN SCARPA, INVENTOR / OTHER / RETAILERS (APPAREL, FOOD, GENERAL) / INVENTION TO BE MARKETED / IS THIS AN INDUSTRY SECTOR ORGANIZATION? N/A / OTHER ONE TIME SALE OF INVENTION / INVENTOR / WILL YOU HAVE AUTHORITY TO MAKE INVESTMENT DECISIONS ON BEHALF OF THE COMPANY? YES/ START DATE 08/02/2010. /// 5) AUTHOR / BOOK/ LINWOOD, NJ 08221 / AUTHOR/ START DATE 5/2/2013. /// 6) Four Star Casting; 2420 S. Wood St., Suite #3, Chicago, Illinois 60608; Participating in being an "Extra" for TV & Movies filmed in Chicago.; Background possible appearance ONLY; Entertainment Industry; Occasionally attending Movie & TV show filming as a "Extra"... A background member ONLY; "Actor"; Attend filming and act as an "Extra".; Start date: 5/31/2024

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-12-30
S63 Uniform Securities Agent State Law Examination 1980-10-10
  • S65 Uniform Investment Adviser Law Examination
    1992-12-30
  • S63 Uniform Securities Agent State Law Examination
    1980-10-10

View on SEC IAPD

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