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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2005-12-16 |
| CO | RA | APPROVED | 2003-05-12 |
Branch Locations
4600 S. Ulster Street -Suite 700 Metro Point One, Denver, CO 80237 • United States
Greenwood Village, CO • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Denver | CO | 07/2013 | Present |
NAME OF OTHER BUSINESS: The Preserve Home Owners Association Board of Directors / INVESTMENT RELATED?:N / ADDRESS: North Preserve LaneGreenwood Village, CO / NATURE OF THE BUSINESS: Manage the affairs of teh Homeowners association/ POSITION: Member of Board of Directors / DUTIES:I am listed as the secretary, but the management company actually does all the day to day operating of the entity./ START DATE:12/14/2021/ HOURS DEVOTED TO BUSINESS: NA 2) Name of Business: 4Gemworks Comic Book Emporium./ Address: 4955 East Preserve Lane Greenwood Village Colorado United States 80121./ Investment Related: No./ Nature: It is a business name I adopted in order to buy and sell comic books./ Role: Proprietor / owner./ Duty: I have a variety of comic book titles that I have been trying to complete over the years and occasionally I sell a portion of my collection./ Start Date: 9/8/2018./ Hours Devoted: No.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-05-21 |
| S63 | Uniform Securities Agent State Law Examination | 1986-07-31 |
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