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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-10-26
TX RA APPROVED 2017-11-22
  • NY RA
    APPROVED
    Since 2021-10-26
  • TX RA
    APPROVED
    Since 2017-11-22

Branch Locations

One Jericho Plaza Suit 205, Jericho, NY 11753 • United States

Oyster Bay, NY • 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
Retired / Unemployed Oyster Bay NY 07/2011 04/2017
Ubs Financial Services Jericho NY 04/2017 Present
  • 07/2011 → 04/2017
    Retired / Unemployed
    Oyster Bay, NY
  • 04/2017 → Present
    Ubs Financial Services
    Jericho, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-06-20
S63 Uniform Securities Agent State Law Examination 2003-07-11
  • S66 Uniform Combined State Law Examination
    2017-06-20
  • S63 Uniform Securities Agent State Law Examination
    2003-07-11

View on SEC IAPD

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