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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2008-05-01
  • NJ RA
    APPROVED
    Since 2008-05-01

Branch Locations

500 Campus Drive 2Nd Floor, Florham Park, NJ 07932 • United States

Newton, NJ • 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 Florham Park NJ 04/2008 Present
Previous Registrations
Other Businesses

MORRIS SCHOOL DISTRICT COMMUNITY SCHOOL - PO BOX 1485, MORRISTOWN NJ; PARAMUS COMMUNITY SCOOL - 145 SPRING VALLEY RD., PARAMUS NJ; GLEN ROCK ADULT SCHOOL - 600 HARRISTOWN ROAD, GLEN ROCK, NJ; WESTFIELD ADULT SCHOOL - PO BOX 606, WESTFIELD NJ / ASSISTANT / NON-PROFIT ORGANIZATION / 15 HOURS PER MONTH / INVOLVEMENT SINCE 04/01/2010 / POSITION HELD - ASSISTANT.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-09-19
S63 Uniform Securities Agent State Law Examination 1998-09-11
  • S65 Uniform Investment Adviser Law Examination
    1998-09-19
  • S63 Uniform Securities Agent State Law Examination
    1998-09-11

View on SEC IAPD

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