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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2010-09-16
TX RA APPROVED 2008-12-19
  • MI RA
    APPROVED
    Since 2010-09-16
  • TX RA
    APPROVED
    Since 2008-12-19

Branch Locations

730 Penniman Avenue, Plymouth, MI 48170 • United States

Frankfort, MI • 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 Plymouth MI 12/2008 Present
Previous Registrations
Other Businesses

OWENS LAND COMPANY / 43762 WABEEK LANE NORTHVILLE, MI. 48168 / PARTNERSHIP / REAL ESTATE / MAINTENANCE OF PROPERTY / IS THIS AN INDUSTRY SECTOR ORGANIZATION? NO / MEMBER OF BOARD OF DIRECTORS / TAKE CARE OF FAMILY COTTAGE / WILL YOU HAVE AUTHORITY TO MAKE INVESTMENT DECISIONS ON BEHALF OF THE COMPANY? NO/ START DATE 01/01/1998.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-08-25
S63 Uniform Securities Agent State Law Examination 1985-03-29
  • S65 Uniform Investment Adviser Law Examination
    2008-08-25
  • S63 Uniform Securities Agent State Law Examination
    1985-03-29

View on SEC IAPD

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