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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 2015-11-30
  • TX RA
    APPROVED_RES
    Since 2015-11-30

Branch Locations

One Post Office Square, Boston, MA 02109 • United States

Boston, MA • 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 Boston MA 11/2015 Present
Previous Registrations
  • 2008-10-31 → 2015-12-09
    Credit Suisse Securities (Usa) Llc
    Boston, MA
  • 2004-04-26 → 2008-11-10
    Weehawken, NJ
    Boston, MA
    Boston, MA
    Boston, MA
    Boston, MA
Other Businesses

41 MAHILOA KAILUA, HI 96734. VACATION RENTAL PROPERTY. 2 HOURS PER MONTH. OWNER. 2) Walker House LLC / 876 Mokulua Drive Kailua,Hawaii 96734 / Sole proprietorship/ Real Estate / Vacation Rental Property / Officer / / Vacation Rental Property / Start Date 3/6/13 /

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1982-08-09
  • S63 Uniform Securities Agent State Law Examination
    1982-08-09
Other Names
  • Paul Timothy Connolly

View on SEC IAPD

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