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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-01-03
WA RA APPROVED 1995-03-06
  • TX RA
    APPROVED_RES
    Since 2022-01-03
  • WA RA
    APPROVED
    Since 1995-03-06

Branch Locations

925 Fourth Avenue 31St & 32Nd Floor, Seattle, WA 98104 • United States

225 108Th Avenue Ne Suite 800, Bellevue, WA 98004 • 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. Seattle WA 01/1995 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-01-22
S63 Uniform Securities Agent State Law Examination 1987-12-03
  • S65 Uniform Investment Adviser Law Examination
    1992-01-22
  • S63 Uniform Securities Agent State Law Examination
    1987-12-03

View on SEC IAPD

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