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Edward Joseph Caufield

Ubs Financial Services Inc.

Orient, NY

Melville, NY

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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 2013-12-05
CT RA APPROVED 2009-09-24
  • NY RA
    APPROVED
    Since 2021-10-26
  • TX RA
    APPROVED_RES
    Since 2013-12-05
  • CT RA
    APPROVED
    Since 2009-09-24

Branch Locations

Orient, NY • United States

58 South Service Road Suite 310, Melville, NY 11747 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. Melville NY 11/1991 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-08-14
S63 Uniform Securities Agent State Law Examination 1984-07-03
  • S65 Uniform Investment Adviser Law Examination
    1995-08-14
  • S63 Uniform Securities Agent State Law Examination
    1984-07-03

View on SEC IAPD

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