Lawrence Joseph Haertel

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
RI	RA	APPROVED	2021-11-03
TX	RA	APPROVED	2003-06-30
CT	RA	APPROVED	2003-05-30

RI RA
APPROVED

Since 2021-11-03
TX RA
APPROVED

Since 2003-06-30
CT RA
APPROVED

Since 2003-05-30

Branch Locations

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

299 Park Avenue 8Th,9Th And 11Th Floor, New York, NY 10171 • United States

Greenwich, CT • 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

Organization	City	State	From	To
Ubs Financial Services Inc.	Greenwich	CT	05/2003	Present

05/2003 → Present

Ubs Financial Services Inc.

Greenwich, CT

Previous Registrations

1983-08-23 → 2003-06-11

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Greenwich, CT

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1979-07-10

S63 Uniform Securities Agent State Law Examination

1979-07-10