Alan L Katz

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-10-26
TX	RA	APPROVED	2012-09-05

NY RA
APPROVED

Since 2021-10-26
TX RA
APPROVED

Since 2012-09-05

Branch Locations

One Jericho Plaza Suit 205, Jericho, NY 11753 • 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

Organization	City	State	From	To
Ubs Financial Services Inc	Jericho	NY	07/2015	Present

07/2015 → Present

Ubs Financial Services Inc

Jericho, NY

Previous Registrations

1983-08-23 → 2012-09-06

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Palm Beach Gardens, FL

Great Neck, NY

Great Neck, NY

Other Businesses

1)NEW YORK STOCK EXCHANGE DISCIPLINARY PANEL / WALL STREET NEW YORK,NY 10006 / COMPANY/ FINANCIAL (CONSUMER & INVESTMENT SERVICES) / DISCIPLINARY ACTIONS AGAINST MEMBERS AND EMPLOYEES OF MEMBERS / OTHER / PANEL MEMBER / HEAR DISCIPLINARY MATTERS / START DATE 09/08/2003 - / VARIES

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1997-08-06
S63	Uniform Securities Agent State Law Examination	1979-09-12

S65 Uniform Investment Adviser Law Examination

1997-08-06
S63 Uniform Securities Agent State Law Examination

1979-09-12

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Previous Registrations

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

Reviews