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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| RI | RA | APPROVED | 2013-03-04 |
| TX | RA | APPROVED | 2013-02-01 |
Branch Locations
130 Bellevue Avenue Suite 301, Newport, RI 02840 • 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 | Providence | RI | 02/2013 | Present |
1) U.S. National Sailing Hall of Fame / Thames Street, Newport, Newport, Rhode Island 02842 / United States / http://www.nshof.org / No / Charity / It is a Hall of Fame for sailing in the United States and is museum as well, for the same purposes / The National Sailing Hall of Fame is a 501(c)(3) non-profit educational organization that promotes sailing by preserving America's sailing legacy and engages the next generation by sharing the benefits, excitement and beauty of sailing. / Member of Board of directors / "I will be Treasurer of the NSHoF I will work with the in house staff to keep track of the financial affairs of the museum I will work with other members of the Ex_Comm on strategic decisions for the museum" / No / Start Date 11/1/2019 /// 2) The H.H.A., Jr Trust-1996 / 39 Bellevue Ave c/o Arthur Murphy Esq Newport/Newport Rhode Island 02840/ United States/ This trust was created when my friend and mentor of 42 years died at the age of 98 on May 11. He would have been 99 June 2. He named me as co-trustee along with his attorney Arthur Murphy. Mr A has no children. Our sole duty as trustees is to collect his investment assets from UBS and 2 other firms and deliver them in a pre-determined split to his alma maters Yale and Ransome Everglades School. There will be no investment management or on going relationship. With luck and quick approval from UBS this could all be done in several weeks, a few months at most. My role is to assist the other trustee in collecting the assets and making the distributions to Yale and Ransome Everglades School. / Involved in securities trading? : YES / Start Date 06/08/20204) 3)Courageous 122,ColoradoUnited States81423NoneNoOtherMy wife and I bought a small ranch in Colorado as a second residence, and possible future primary residence, for our personal use. As is customary for ranches out there, we bought it in an LLC that is 50% owned by each of our respective Living TrustsAgriculture & LivestockRelaxing. Growing hay. Periodically having our daughter and son in law's cattle herd on the property. Shooting ducks. Maybe hunting Elk, tbdActiveOtherhome owner and partner in llc that owns the ranchpaying the mortgage, possibly shoveling manure and relaxing when possible,Start date- 3/27/2025Investment Yes 4) Molly Brown LLC, United StatesOtherAn LLC that owns my pleasure craft - motor boatOtherBoatingCatching very large Giant Bluefin Tuna and relaxing. I am all about relaxingActiveProprietor / ownerMy wife and meStart Date -4/21/2025investment Yes
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-06-01 |
| S63 | Uniform Securities Agent State Law Examination | 1992-03-20 |
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