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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
ME RA APPROVED 2021-05-13
  • ME RA
    APPROVED
    Since 2021-05-13

Branch Locations

Oak Bluffs, MA • United States

One Post Office Square, Boston, MA 02109 • United States

Canton, MA • 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
Rbc Capital Markets, Llc Norwell MA 06/2014 06/2020
Wells Fargo Clearing Services, Llc Norwell MA 06/2020 04/2021
Ubs Financial Services Inc. Boson MA 05/2021 Present
Previous Registrations
Other Businesses

RENTAL PROPERTY; INVESTMENT RELATED; OAK BLUFFS,MA; 50% OWNERSHIP; START DATE 07/25/2019; NUMBER OF HOURS PER MONTH 10; NUMBER OF HOURS DURING TRADING 0; MAINTAIN HOME AND MANAGE RENTAL PROCESS.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-08-17
  • S66 Uniform Combined State Law Examination
    2007-08-17
Other Names
  • Mariana Lauren Underwood
  • Mariana L. Ali

View on SEC IAPD

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