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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-04-03 |
| CA | RA | APPROVED | 2023-01-31 |
| OH | RA | APPROVED | 2007-02-09 |
Branch Locations
8044 Montgomery Road, Ste. 10 The Towers At Kenwood, Cincinnati, OH 45236 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Cincinnati | OH | 11/2013 | Present |
1. S. L. R Trust FBO L H R. III, Inheritance from deceased parents held in trust for next generations, including the trustee, Cincinnati OH United States-45243, Supervise investment allocations, file tax returns, authorize distributions, start date-1/13/1986. 2. LHR III Childrens Trusts, Lifetime gifts to grantor's grandchildren, CincinnatiOH United States45243, Supervise investment allocations, file tax returns, authorize distributions, start date-1/13/1986. 3. C. J.M. Irrev Trust, Life Insurance Trust for deceased father in law, CincinnatiOH United States45243, Trust has been fully distributed and has no assets, Final tax returns and distributions have been completed, start date-12/22/1989.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-12-16 |
| S63 | Uniform Securities Agent State Law Examination | 1984-01-17 |
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