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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-02-05
TX RA APPROVED_RES 2017-08-08
VT RA APPROVED 2009-03-19
  • FL RA
    APPROVED
    Since 2024-02-05
  • TX RA
    APPROVED_RES
    Since 2017-08-08
  • VT RA
    APPROVED
    Since 2009-03-19

Branch Locations

67 Merchants Row Suite 102, Rutland, VT 05701 • United States

Bradenton, FL • 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 Rutland VT 07/2013 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-07-14
S63 Uniform Securities Agent State Law Examination 1984-11-30
  • S65 Uniform Investment Adviser Law Examination
    1993-07-14
  • S63 Uniform Securities Agent State Law Examination
    1984-11-30

View on SEC IAPD

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