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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 2024-05-13
CT RA APPROVED 2018-01-11
  • TX RA
    APPROVED_RES
    Since 2024-05-13
  • CT RA
    APPROVED
    Since 2018-01-11

Branch Locations

1 Century Tower 265 Church Street Suite 1102, New Haven, CT 06510 • 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
Unemployed Milford CT 08/2016 12/2016
Axa Advisors, Llc New York NY 12/2016 01/2018
Ubs Financial Services Inc. Hartford CT 01/2018 Present
  • 08/2016 → 12/2016
    Unemployed
    Milford, CT
  • 12/2016 → 01/2018
    Axa Advisors, Llc
    New York, NY
  • 01/2018 → Present
    Hartford, CT
Previous Registrations
Other Businesses

NAME OF ENTITY: Wiktor Wozniak 43 Joyce Ct, Milford, CT 06461 TYPE OF BUSINESS/SERVICES PROVIDED: REAL ESTATE POSITION: OWNER/LANDLORD # OF HOURS PER MONTH: 10 AVERAGE YEARLY COMPENSATION: $3,000 START DATE: 02/02/2015 NON-INVESTMENT RELATED

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-09-18
  • S66 Uniform Combined State Law Examination
    2017-09-18

View on SEC IAPD

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