John Richard Dolloff

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2013-08-12
ME	RA	APPROVED	2002-09-25

TX RA
APPROVED_RES

Since 2013-08-12
ME RA
APPROVED

Since 2002-09-25

Branch Locations

One City Center 10Th Floor, Portland, ME 04101 • 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

Organization	City	State	From	To
Ubs Financial Services Inc.	Portland	ME	01/1995	Present

01/1995 → Present

Ubs Financial Services Inc.

Portland, ME

Other Businesses

Maine Audubon Society / 20 Gilsland Farm Road Falmouth,Maine 04105 / Company/ Charities, Cultural, Educational & Political Organisations / To Conserve Maine's Wildlife and Habitat / Trustee / / Attend customary Board of Trustee meetings; provide customary strategic directional guidance for organization. / Start Date 07/03/2017 /

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1992-01-29
S63	Uniform Securities Agent State Law Examination	1984-11-28

S65 Uniform Investment Adviser Law Examination

1992-01-29
S63 Uniform Securities Agent State Law Examination

1984-11-28

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

Reviews