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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-10-26
TX RA APPROVED_RES 2017-09-05
  • NY RA
    APPROVED
    Since 2021-10-26
  • TX RA
    APPROVED_RES
    Since 2017-09-05

Branch Locations

400 Linden Oaks, Rochester, NY 14625 • United States

Victor, NY • 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 Rochester NY 12/2011 Present
Other Businesses

1) INSTRUCTOR OF A COLLEGE COURSE "INTRODUCTION TO DIVESTMENTS" /// 2) NAZARETH COLLEGE / UNIVERSITY / 4245 EAST AVE ROCHESTER , NEW YORK 14618 / ADJUNCT PROFESSOR / NON PROFIT / START DATE 01/16/2012 - 05/11/2012 / 4 HRS. /// 3) West Crest Investment Partners LLC / Partnership / Investment / Partner / Investment selection

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-03-14
S63 Uniform Securities Agent State Law Examination 1985-01-29
  • S65 Uniform Investment Adviser Law Examination
    2006-03-14
  • S63 Uniform Securities Agent State Law Examination
    1985-01-29

View on SEC IAPD

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