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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
OK RA APPROVED 2009-01-02
TX RA APPROVED 2009-01-02
  • OK RA
    APPROVED
    Since 2009-01-02
  • TX RA
    APPROVED
    Since 2009-01-02

Branch Locations

6120 South Yale Avenue Suite 1800, Tulsa, OK 74136 • 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 Tulsa OK 01/2009 Present
Previous Registrations
  • 2007-04-02 → 2009-01-06
    Morgan Stanley & Co. Llc
    Tulsa, OK
  • 1992-01-02 → 2007-04-02
    Morgan Stanley Dw Inc.
    Tulsa, OK
    Tulsa, OK
Other Businesses

The First Tee of Tulsa / 5223 East 41st Street North Tulsa,Ok 74115 / Foundation/ Other Golf / To impact the lives of young people by providing educational programs and opportunities that build character, instill life enhancing values and promote healthy choices through the game of golf / Member of Board of Directors / / Attend 4 board meetings per year to review and direct organiztions programs / Start Date 6/1/2015/

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1980-09-05
  • S63 Uniform Securities Agent State Law Examination
    1980-09-05

View on SEC IAPD

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