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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 2019-07-15
WA RA APPROVED 2007-08-14
  • TX RA
    APPROVED_RES
    Since 2019-07-15
  • WA RA
    APPROVED
    Since 2007-08-14

Branch Locations

Chelan, WA • United States

225 108Th Avenue Ne Suite 800, Bellevue, WA 98004 • United States

Kirkland, WA • 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. Seattle WA 07/2007 Present
Other Businesses

1) Name of Business- Nana's Camp LLC. / Address- Kirkland, Washington 98033 / Investment Related- YES 50% / Nature- The purpose of the entity is to hold a cabin. / Role- Partner / Duty- Occasional yard work, winterizing cabin, managing account deposits/withdrawals and any capital improvements. / Start Date- 12/31/2023 / Time Required- NO /// 2) Personal Property; Worley, Idaho; Farmland and timber; Agriculture & Livestock; Grain and timber production.; Partner; Oversee land management; Start date: 3/31/2023

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-08-13
S63 Uniform Securities Agent State Law Examination 2006-10-06
  • S66 Uniform Combined State Law Examination
    2007-08-13
  • S63 Uniform Securities Agent State Law Examination
    2006-10-06

View on SEC IAPD

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