Herbert Seth Hoffman

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-10-26
TX	RA	APPROVED_RES	2021-05-18
NJ	RA	APPROVED	2019-08-06

NY RA
APPROVED

Since 2021-10-26
TX RA
APPROVED_RES

Since 2021-05-18
NJ RA
APPROVED

Since 2019-08-06

Branch Locations

One Jericho Plaza Suit 205, Jericho, NY 11753 • United States

Southold, NY • United States

Roslyn Ests, NY • 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

Organization	City	State	From	To
Ubs Financial Services Inc	Jericho	NY	07/2015	Present

07/2015 → Present

Ubs Financial Services Inc

Jericho, NY

Other Businesses

JDRF / 532 Broadhollow Rd suite 118 Melville,New York 11747 / Other/ Other Non profit / Charity - Type One Diabetes / Member of Board of Directors / / Board member / Start Date 4/1/16 Non profit /

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2017-05-22
S63	Uniform Securities Agent State Law Examination	1991-01-31

S65 Uniform Investment Adviser Law Examination

2017-05-22
S63 Uniform Securities Agent State Law Examination

1991-01-31

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Other Businesses

Exams

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