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Nancy Carol Bernstein

Ubs Financial Services Inc.

Warren, NJ

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2022-09-30
TX RA APPROVED_RES 2022-09-29
  • NJ RA
    APPROVED
    Since 2022-09-30
  • TX RA
    APPROVED_RES
    Since 2022-09-29

Branch Locations

184 Liberty Corner Road Suite 101, Warren, NJ 07059 • 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
Morgan Stanley Smith Barney Llc Warren NJ 11/2014 Present
Morgan Stanley Private Bank, National Association New York NY 01/2015 09/2022
Ubs Financial Services Warren NJ 09/2022 Present
Morgan Stanley Private Bank, N.A New York NY 01/2015 Present
  • 11/2014 → Present
    Morgan Stanley Smith Barney Llc
    Warren, NJ
  • 01/2015 → 09/2022
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 09/2022 → Present
    Ubs Financial Services
    Warren, NJ
  • 01/2015 → Present
    Morgan Stanley Private Bank, N.A
    New York, NY
Previous Registrations
Other Businesses

NAME: QUEEN TS INVESTMENT RELATED: (YES OR NO) NO ADDRESS: 33 TOTTEN DRIVE BRIDGEWATER, NJ 08807 NATURE: T-SHIRT BUS YOUR POSITION, TITLE, ASSOCIATION: PRESIDENT START DATE: 06/01/2006 NUMBER OF HOURS DEVOTED PER MONTH: 4-6 NUMBER OF HOURS DEVOTED DURING SECURITIES TRADING HOURS: 1 DUTIES: ATTEND BOARD MEETING- BUSINESS NO LONGER EXISTS

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-04-10
S63 Uniform Securities Agent State Law Examination 1984-09-06
  • S65 Uniform Investment Adviser Law Examination
    2001-04-10
  • S63 Uniform Securities Agent State Law Examination
    1984-09-06
Other Names
  • Nancy Carol Struth

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