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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2021-12-03
NY RA APPROVED 2021-10-26
TX RA APPROVED_RES 2016-12-01
  • FL RA
    APPROVED
    Since 2021-12-03
  • NY RA
    APPROVED
    Since 2021-10-26
  • TX RA
    APPROVED_RES
    Since 2016-12-01

Branch Locations

250 Delaware Avenue, Buffalo, NY 14202 • United States

Placida, FL • 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. Buffalo NY 08/2015 Present
Previous Registrations
Other Businesses

SOURCE LAKE HOLDING CORP - NOT INVESTMENT RELATED, 35 PARK LANE, ROCHESTER, NY 14625. BOY'S SUMMER CAMP (CAMP PATHFINDER) C0-OWNER. SEPT. 1999-START DATE, 7 HOURS PER MONTH, 1 HOUR PER MONTH DURING TRADING HOURS. DUTIES ARE TO VERSEE A FULL TIME PROFESSIONAL STAFF. 2)BV B401 LLC / 4228 Lower River Road Youngstown,NY 14174 / Other/ Real Estate / Real Estate / Partner / / Managing partner of LLC / Start Date 7/12/16 LLC / 3) 200 Delaware Ave, LLC / Lippes Mathias Wexler Friedman LLP, 50 Fountain Plaza, Ste 1700 Buffalo,NY 14202 / Partnership/ Real Estate / This is a single member LLC for which I am the sole member for purposes of purchasing a condo for my living purposes. The LLC is purchasing the condo as to keep this real estate transaction publicly disclosed that I am the owner. / Partner / / N/A / Start Date 12/30/2016 / 4) 6501 Wheeler Road, Town of Newfane, The is a piece of real estate co-owned Joint Tenants in common with M.M. The property is leased to another business (ice cream stand) for which I have zero involvement. I am not responsible for the lease and the lease is not with me. The lease is with M.M. company and I receive a disbursement of income periodically for my investment in the property, Proprietor / owner, I strictly own the land/property as joint tenants in common. There is a business (ice cream stand) that pays rent to the other owner. I receive a portion as income from the real estate.Start date-5/7/2013, New faneNYUnited States.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1991-11-21
S63 Uniform Securities Agent State Law Examination 1983-04-05
  • S65 Uniform Investment Adviser Law Examination
    1991-11-21
  • S63 Uniform Securities Agent State Law Examination
    1983-04-05
Other Names
  • Glenn Wyatt Arthurs

View on SEC IAPD

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