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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 2014-01-03
NJ RA APPROVED 2013-04-05
  • TX RA
    APPROVED_RES
    Since 2014-01-03
  • NJ RA
    APPROVED
    Since 2013-04-05

Branch Locations

51 Jfk Parkway Suite 303, Short Hills, NJ 07078 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. Short Hills NJ 04/2013 Present
Previous Registrations
Other Businesses

NOTARY PUBLIC / 27 HART DRIVE SOUTH SOUTH ORANGE,NJ 07079 / 1 HR PER MONTH/ 42050 NON PROFIT / START DATE 2/15/2010 - 2/15/2015 / Steven Ginsberg (possible estate) / PO Box 294 Oldwick,NJ 08858 / Other/ Other Estate / Possible estate / Other / I am currently the financial advisor on these accounts / act as Execotor should Mr. Ginsberg die / Start Date 12/01/2016/Possible ESTATE /

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-04-02
S63 Uniform Securities Agent State Law Examination 1987-02-26
  • S65 Uniform Investment Adviser Law Examination
    1992-04-02
  • S63 Uniform Securities Agent State Law Examination
    1987-02-26

View on SEC IAPD

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