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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2023-07-10
MI RA APPROVED 2010-09-16
TX RA APPROVED_RES 2000-01-14
  • FL RA
    APPROVED
    Since 2023-07-10
  • MI RA
    APPROVED
    Since 2010-09-16
  • TX RA
    APPROVED_RES
    Since 2000-01-14

Branch Locations

1800 North Military Trail Suite 300, Boca Raton, FL 33431 • United States

325 North Old Woodward Ave Suite 200, Birmingham, MI 48009 • United States

Franklin, MI • United States

Boca Raton, FL • United States

Disclosures

2 disclosure categories 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Painewebber Inc Farmington Hill MI 01/2000 Present
  • 01/2000 → Present
    Painewebber Inc
    Farmington Hill, MI
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1991-10-22
S63 Uniform Securities Agent State Law Examination 1982-08-03
  • S65 Uniform Investment Adviser Law Examination
    1991-10-22
  • S63 Uniform Securities Agent State Law Examination
    1982-08-03

View on SEC IAPD

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