Best Investors Account Sign in
Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2026-07-02
PA RA APPROVED 2022-12-21
TX RA APPROVED_RES 2009-01-07
KY RA APPROVED 2008-11-05
  • NC RA
    APPROVED
    Since 2026-07-02
  • PA RA
    APPROVED
    Since 2022-12-21
  • TX RA
    APPROVED_RES
    Since 2009-01-07
  • KY RA
    APPROVED
    Since 2008-11-05

Branch Locations

500 North Hurstbourne Suite 300, Louisville, KY 40222 • United States

Louisville, KY • United States

Davidson, NC • 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
Ubs Financial Services Inc Louisville KY 07/2013 Present
Previous Registrations
Other Businesses

YOUR TRAVEL BUSINESS (YTB), NOT INVESTMENT RELATED, ANCHORAGE KY, HOME BASED ONLINE TRAVEL BUSINESS, INDEPENDENT TRAVEL CONSULTANT, BEGAN 10/22/2007, 2-3 HOURS/MONTH, NOT DURING BUSINES HOURS.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-06-02
S63 Uniform Securities Agent State Law Examination 1985-08-09
  • S65 Uniform Investment Adviser Law Examination
    1997-06-02
  • S63 Uniform Securities Agent State Law Examination
    1985-08-09

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Louisville, KY

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor