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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2026-02-17
CA RA APPROVED 2026-01-27
NJ RA APPROVED 2026-01-26
FL RA APPROVED 2019-11-12
TX RA APPROVED_RES 2012-06-28
CT RA APPROVED 2008-02-11
  • NY RA
    APPROVED
    Since 2026-02-17
  • CA RA
    APPROVED
    Since 2026-01-27
  • NJ RA
    APPROVED
    Since 2026-01-26
  • FL RA
    APPROVED
    Since 2019-11-12
  • TX RA
    APPROVED_RES
    Since 2012-06-28
  • CT RA
    APPROVED
    Since 2008-02-11

Branch Locations

600 Washington Blvd 9Th Floor, Stamford, CT 06901 • United States

Sarasota, FL • United States

1819 Main Street Suite 900, Sarasota, FL 34236 • 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
OrganizationCityStateFromTo
Ubs Financial Services Inc Stamford CT 02/2008 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-11-23
S63 Uniform Securities Agent State Law Examination 1987-04-15
  • S65 Uniform Investment Adviser Law Examination
    1992-11-23
  • S63 Uniform Securities Agent State Law Examination
    1987-04-15
Other Names
  • Susan Ellen Silver

View on SEC IAPD

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