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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-08-07
MI RA APPROVED 2010-10-08
  • TX RA
    APPROVED_RES
    Since 2023-08-07
  • MI RA
    APPROVED
    Since 2010-10-08

Branch Locations

945 West Norton Ave., Muskegon, MI 49441-4175 • 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
Ubs Financial Services Inc Grand Rapids MI 06/2008 Present
Other Businesses

DEXTER RESEARCH CENTER, INC. / 7300 HURON RIVER DRIVE DEXTER, MI 48130 / COMPANY / ELECTRONIC & ELECTRICAL EQUIPMENT / MANUFACTURE AND DISTRIBUTE INFRARED SENSING DEVICES. / MEMBER OF BOARD OF DIRECTORS / MEMBER OF THE BOARD OF DIRECTORS / START DATE 06/23/2008 / 2 HRS PER MONTH. 2)MIDWEST MICRODEVICES, INC. / 329 14TH STREET TOLEDO,OH 43604 / COMPANY/ ELECTRONIC & ELECTRICAL EQUIPMENT / SEMICONDUCTORS / MEMBER OF BOARD OF DIRECTORS / / REVIEW PERFORMANCE OF COMPANY / START DATE 3/31/2015 West Michigan Horticultural Society DBA Frederik Meijer Garden & Sculpture Park / 1000 E Beltline Avenue NEGrand RapidsMichigan49525 / Premier horticulture display garden and sculpture park / Cultural Establishment / Attend board meetings. Provide advice in committee. / Member of Board of directors/ 5/28/2021 / FOUR MEETING EACH YEAR

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-06-20
S65 Uniform Investment Adviser Law Examination 1995-02-10
S63 Uniform Securities Agent State Law Examination 1994-10-21
  • S66 Uniform Combined State Law Examination
    2008-06-20
  • S65 Uniform Investment Adviser Law Examination
    1995-02-10
  • S63 Uniform Securities Agent State Law Examination
    1994-10-21

View on SEC IAPD

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