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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2016-07-26
NJ RA APPROVED 2013-08-22
PA RA APPROVED 2013-07-31
  • TX RA
    APPROVED_RES
    Since 2016-07-26
  • NJ RA
    APPROVED
    Since 2013-08-22
  • PA RA
    APPROVED
    Since 2013-07-31

Branch Locations

1735 Market Street, 44Th Floor Mellon Bank Ctr., Philadelphia, PA 19103 • 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 Princeton NJ 07/2013 Present
Previous Registrations
Other Businesses

Pennsylvania Association of Public Employees Retirement Systems / P.O. Box 1543 Harrisburg,Pa 17106 / Association (i.e., Trade or Industry, Sport...)/ Charities, Cultural, Educational & Political Organisations / Education / Advisor or member of an advisory committee, if the advice given will or may influence the board or other senior management or supervisory board of the organization in question / / Assist the Board in organizing educational programs; matters on increasing membership; assist board with specific research topics which effect Papers and the public pension fund community; / Start Date 01/02/2017/ End Date 12/31/2021/ 4 meetings per year Pennsylvania Association of Public Employees Retirement Systems / P.O. Box 1543 Harrisburg,Pa 17106 / Association (i.e., Trade or Industry, Sport...)/ Charities, Cultural, Educational & Political Organisations / Education / Advisor or member of an advisory committee, if the advice given will or may influence the board or other senior management or supervisory board of the organization in question / / Assist the Board in organizing educational programs; matters on increasing membership; assist board with specific research topics which effect Papers and the public pension fund community; / Start Date 01/02/2017/ End Date 12/31/2021/ 4 meetings per year 3) Name of Business: Tara Health Foundation./ Address: 47 Kearny Street Suite 600 San Francisco California United States 94108-5525./ Investment Related: No./ Nature: Improve health & well-being of women & girls in the US through the creative use of philanthropic capital and 100% mission alignment of assets./ Role: Advisor or advisory group member if advice given may influence an officer/board./ Duty: Provide expertise and insight to the organization in order to increase the percentage of women working in the financial industry and the assets they manage./ Start Date: 2/15/2023./Hours Devoted: No./ Time Required: N/A. 250 S. 17th Street Condominium Association, Association representing owners of condominium's in the property, Member of Board of directors, President of the Association member of the Board of Directors - work with board members on financial and management matters of the property to insure , fiscal responsibility and proper maintenance of the property, start date-5/21/2018, PennsylvaniaUnited States-19103. essVest ,support speaking engagements; provide a vehicle for me to receive compensation for speaking engagements , Philadelphia Pennsylvania Uganda , Speaking engagements , Start date 9/1/2026

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-03-17
S63 Uniform Securities Agent State Law Examination 1980-03-11
  • S65 Uniform Investment Adviser Law Examination
    1997-03-17
  • S63 Uniform Securities Agent State Law Examination
    1980-03-11
Other Names
  • Elaina Susan Spilove

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