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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| 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 |
Branch Locations
1337 Tilton Road, Northfield, NJ 08225 • United States
1909 New Road, Northfield, NJ 08225 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Northfield | NJ | 02/2001 | Present |
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
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-12-30 |
| S63 | Uniform Securities Agent State Law Examination | 1980-10-10 |
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