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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-03-10 |
| IA | RA | APPROVED | 2021-11-17 |
| CT | RA | APPROVED | 2010-10-22 |
Branch Locations
600 Washington Blvd 9Th Floor, Stamford, CT 06901 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Stamford | CT | 09/2010 | Present |
1) SHERMAN HISTORICAL SOCIETY / 10 RT 37 CENTER SHERMAN,CT 06784 / OTHER/ CHARITIES, CULTURAL, EDUCATIONAL & POLITICAL ORGANISATIONS / PROMOTE HISTORY OF THE TOWN OF SHERMAN / OTHER / MEMBER OF ENDOWMENT COMMITTEE / PICK INVESTMENTS FOR ORGANIZATIONS ENDOWMENT FUND / START DATE 01/08/2013. Directors / / preside over meetings / Start Date 4/13/16-5/9/18 / 2)Northwest Connecticut Land ConservancyUnited States,CTUnited States,Working to preserve and protect 30% of northwest CT lands and water by 2030,Advisor or advisory group member if advice given may influence an officer/board,Chair of the Naromi Advisory Council. Thye took Naromi over in 2020. It was a local land trust in the town I live inStart date -1/1/2025 4)Sherman Historical Society / 10 Route 37 Center Sherman,CT 06784 / Association (i.e., Trade or Industry, Sport...)/ Education / Educate on history of Sherman, CT / Chairman of the Endowment Committee. I cannot sign checks, vote on any investment choices. I bascially call meetings. we have an outside advisory firm, Jannye Mintgomery, and an outside advisor there/ Duties : Call meetings with outside advisory firm and portfolio manager./ Start Date : 12/12/2022. 7) Sherman Historical Society / 10 Rt 37 Center Sherman,CT 06784 / Other/ Education / promote history of the Town of Sherman / Other / Member of Endowment Committee / meet with investment manager regarding the performance of societies investment funds / Start Date 1/8/2013 / 8)Quaker Hill Country Club / 1013 Old Quaker Hill Road, Pawling, NY 12564 / United States / Pawling / 12564/ No Other / Private Country Club / Start Date 7/1/2019 / quakerhillcc.com No / 43647 9) Quaker Hill Country Club / 1013 Old Quaker Hill RoadPawlingNew YorkUnited States12564 /Not for Profit Corporation / Sport & Leisure Facilities / Country Club / "Attend board meetings Serve as a member of the handicap committee" / Start Date: 9/20/2021 10)NAME OF OTHER BUSINESS: Northwest Connecticut Land Conservancy / INVESTMENT RELATED?:N/ ADDRESS: PO Box 821 / NATURE OF THE BUSINESS: land trust / POSITION: Advisor or advisory group member if advice given may influence an officer/board / DUTIES: Naromi Advisory Council/ START DATE:7/1/2020 / HOURS DEVOTED TO BUSINESS: NA 11) Parliamentarians of Greater New York ,New York United States , Educate of the public in parliamentary procedure as found in the latest edition of Robert's Rules of Order , Vice President and Education Chairman-fill in for the President if the President is unable to perform his duties, set up educational meetings for the members and the public , Start date 5/9/2022
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-10-21 |
| S63 | Uniform Securities Agent State Law Examination | 1988-12-19 |
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