Neil Alan Newman

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
PA	RA	APPROVED	2012-08-30

PA RA
APPROVED

Since 2012-08-30

Branch Locations

1735 Market Street, 44Th Floor Mellon Bank Ctr., Philadelphia, PA 19103 • United States

Fort Washington, PA • 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	Philadelphia	PA	02/2009	Present

02/2009 → Present

Ubs Financial Services Inc

Philadelphia, PA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2009-07-21
S63	Uniform Securities Agent State Law Examination	1979-10-24

S65 Uniform Investment Adviser Law Examination

2009-07-21
S63 Uniform Securities Agent State Law Examination

1979-10-24

Other Names

Neil A Newman

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Exams

Other Names

Other Firms

Other Investors

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