Eric Andrew Peterson

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2015-12-14
CT	RA	APPROVED	2009-01-22
TX	RA	APPROVED	2009-01-22

FL RA
APPROVED

Since 2015-12-14
CT RA
APPROVED

Since 2009-01-22
TX RA
APPROVED

Since 2009-01-22

Branch Locations

100 West Putnam Avenue 2Nd Floor, Greenwich, CT 06830 • United States

Harwich, MA • United States

Naples, FL • 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 Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc	Greenwich	CT	01/2009	Present

01/2009 → Present

Ubs Financial Services Inc

Greenwich, CT

Previous Registrations

1993-08-11 → 2009-01-26

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Greenwich, CT

Greenwich, CT

Other Businesses

1)ROBERT W. MCCULLOUGH CREDIT SHELTER TRUST 93 CLUB ROAD GREENWICH CONNECTICUT 06830 TRUSTEE STARTED10/28/2009/ HOUR PER MONTH:1-10 NONE DURING TRADING. NOT INVESTMENT RELATED./Consult with Other Trustees on Reinvestment 2-6) CURRENT FIDUCIARY POSITIONS IN THE FOLLOWING: DAYLE JANSEN TST U/A DTD 09/27/91;T.H.WALWORTH TST FBO S. WALWORT;TH WALWORTH TST FBO A. SCHRIJVER; TH WALWORTH TST FBO K. SCHRIJVER;TH WALWORTH TST.FBO.E. WALW. 2) TRUST / VERO BEACH,FL 32960 / TRUST/ TRUST ACCOUNT - INDIVIDUAL / TRUSTEE / TRUSTEE DUTIES / START DATE 08/25/1997 - 02/16/2029 . 3)ROBERT MCCULLOUGH CREDIT SHELTER TRUST / 93 CLUB RD RIVERSIDE,CT 96878 / TRUST/ FINANCIAL (CONSUMER & INVESTMENT SERVICES) / INVEST OFR BENEFICIARIES / TRUSTEE / CONSULT WITH OTHER TRUSTEES ON REINVESTMENT / START DATE 10/28/2009. 4) Sarah Walworth Trust/investment related?: yes 9059 Graphite Circle, Naples, FL 34120/ Oversee the Investments/ start date: 12/8/1998 5) Th.W. Jr. Trust FBO Elizabeth/ investment related?: / 9059 Graphite Circle,Naples, FL 34120/ Savings Accumulation/ Oversee Investment Portfolio/ start date: 12/8/1998/ start date: yes 6) Kristen Schrijver Trust/ investment related?: yes/9059 Graphite Circle, Naples, FL, 34120 US/ Oversee investment portfolio/ start date: 12/8/1998 7) Th.H.W Irrevocable Trust, Oversee settlement and distribution of trust to beneficiaries, Naples FL United States-34120, Oversee and distribute assets to Beneficiaries. Not FA of Record, start date-4/24/2020.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1992-08-20
S63	Uniform Securities Agent State Law Examination	1988-05-25

S65 Uniform Investment Adviser Law Examination

1992-08-20
S63 Uniform Securities Agent State Law Examination

1988-05-25

View on SEC IAPD