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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2023-11-07 |
| NY | RA | APPROVED | 2021-10-26 |
| PA | RA | APPROVED | 2015-01-09 |
| DC | RA | APPROVED | 2014-11-13 |
| CT | RA | APPROVED | 2014-10-02 |
| NJ | RA | APPROVED | 2009-06-08 |
Branch Locations
1285 Avenue Of The Americas 38Th Floor, New York, NY 10019 • United States
299 Park Ave 26Th Floor, New York, NY 10171 • United States
299 Park Avenue 26Th Floor, New York, NY 10171 • United States
299 Park Avenue 8Th Floor, New York, NY 10171 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | New York | NY | 01/2011 | Present |
NYSE HEARING BOARD / NYSE / 1801 K STREET NW WASHINGTON, DC 20006 / PANELIST TO REVIEW CONTESTED CASES / START DATE 03/15/2011 / WILL THE ACTIVITY/BUSINESS INVOLVE SECURITIES TRADING, INVESTMENT, OR ADVICE? YES / 2 HRS PER MONTH.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-05-15 |
| S63 | Uniform Securities Agent State Law Examination | 1983-03-22 |
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