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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
RI RA APPROVED 2022-03-29
NY RA APPROVED 2021-10-26
TX RA APPROVED_RES 2009-03-09
  • RI RA
    APPROVED
    Since 2022-03-29
  • NY RA
    APPROVED
    Since 2021-10-26
  • TX RA
    APPROVED_RES
    Since 2009-03-09

Branch Locations

500 Exchange Street Suite 1210, Providence, RI 02903 • United States

Westerly, RI • 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 New York NY 09/2008 Present
Other Businesses

1) WESTMORE OWNERS CORP / NEW YORK, NEW YORK 10019 / COMPANY / REAL ESTATE / NYC CO-OP BUILDING / MEMBER OF BOARD OF DIRECTORS / MAKE DECISIONS RE BUILDING / START DATE 06/01/2010 /// 2) "JOY" MOVIE PRODUCTION / MAIN ST BOSTON,MA / BIT ACTING PART/ START DATE 2/18/2015 /// 3) Torres Del Valle Dorado Quince Gris S.A. / Escazu,Costa Rica 11111 / Company/ Real Estate / owner/manager of condo unit / Officer / / i own it and have bank account / Start Date 3/1/08 /// 4) Condominios La Perla Gris Del Dieciseis S.A. / Escazu,Costa Rica 11111 / Company/ Real Estate / condo / Sole proprietorship / / manage condo / Start Date 3/1/08 /// 5) NAME OF OTHER BUSINESS: Westmore Apartment #704 / INVESTMENT RELATED?: Y / ADDRESS:NY / NATURE OF THE BUSINESS: Real Estate- Rental Property / POSITION: Proprietor/ Owner/ DUTIES: manage and admin rental operation/ START DATE: 11/1/2019 / HOURS DEVOTED TO BUSINESS: NA /// 6) Teyul llc; Westerly, Rhode Island 02891; Sole proprietorship; Real Estate; collect rent and coordinate repairs; Proprietor / owner collect rent and coordinate repairs; Start date: 4/1/2015 7) Evelyn D. Delanoy Trust uad 10.03.1994paying all bills and arranging health care Rhode Island United States 02891, paying all bills and arranging health care, Start Date -10/13/2022

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1984-11-29
  • S63 Uniform Securities Agent State Law Examination
    1984-11-29
Designations

View on SEC IAPD

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