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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 2023-01-03
MD RA APPROVED 1999-06-21
  • TX RA
    APPROVED_RES
    Since 2023-01-03
  • MD RA
    APPROVED
    Since 1999-06-21

Branch Locations

500 East Pratt Street, Baltimore, MD 21202 • United States

100 East Pratt Street Suite 2140, Baltimore, MD 21202 • 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
#Ia Prudential Securities Incorporated Baltimore MD 01/1981 Present
Ubs Financial Services Inc. Baltimore MD 04/1999 Present
  • 01/1981 → Present
    #Ia Prudential Securities Incorporated
    Baltimore, MD
  • 04/1999 → Present
    Baltimore, MD
Other Businesses

K BANK. BALTIMORE, MD. NOT INVESTMENT RELATED. BUSINESS - BANK. TITLE - DIRECTOR. START DATE - 04/26/2006. 6HRS/MONTH. DUTIES - OVERSIGHT. Chartwell Golf & Country Club / 1 Chartwell Dr Severna Park,MD 21046 / Other/ Sport & Leisure Facilities / Golf & Tennis / Member of Board of Directors / / Guide the management on vision for the Club / Start Date 12/01/2016/ private non-profit club 43190 / Infrequent meetings to attend & email corespondance. H.M. Family Trust / Holding private shares of Pitt-Ohio, make distributions, and pay expenses / 15 27th St / Pittsburgh / PA / United States / 15222 manage the Trust, make distributions, file tax returns, pay expenses / Active Name of Business: Helen L. Mueller./ Address: 25 Hunting Court Edgewater MD United States21037./ Investment Related: No./ Nature: Executor of Will, file the will with the probate court, file an inventory of the estate's assets with the court, pay estate debts and taxes, distribute assets to the beneficiaries./ Role: Executor of Will./ Duty: Upon Helen's death, I will become the Executor of Will, file the will with the probate court, file an inventory of the estate's assets with the court, pay estate debts and taxes, distribute assets to the beneficiaries./ Start Date: 1/1/2024./ Time Required: N/A.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-12-21
S63 Uniform Securities Agent State Law Examination 1981-04-22
  • S65 Uniform Investment Adviser Law Examination
    1992-12-21
  • S63 Uniform Securities Agent State Law Examination
    1981-04-22
Other Names
  • Ejner James Johnson
  • Ejner James Johnson
  • Ejner J Johnson

View on SEC IAPD

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