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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 2004-10-20
  • TX RA
    APPROVED_RES
    Since 2004-10-20

Branch Locations

2555 E. Camelback Road Suite 600, Phoenix, AZ 85016 • United States

2575 East Camelback Road Suite 900, Phoenix, AZ 85016 • 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. Phoenix AZ 04/1984 Present
Other Businesses

1)TYDAM, LLC / MESA AZ 85213 / PARTNERSHIP / REAL ESTATE / FAMILY PARTNERSHIP / PARTNER / START DATE 10/01/2003. 2)AKT, LLC, 3505 E. Fox, Mesa, AZ 85213/ Principal Business Activity- stocks, bonds, mutual funds all through UBS for the benefit of my son./ Role - I am the manager of the LLC./ Compensation - No 3)TAM Holdings LTD/ Principal Business Activity- Computer Consulting/ Compensation - No

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-05-07
S63 Uniform Securities Agent State Law Examination 1985-05-14
  • S65 Uniform Investment Adviser Law Examination
    1997-05-07
  • S63 Uniform Securities Agent State Law Examination
    1985-05-14

View on SEC IAPD

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