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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 2020-05-12
CO RA APPROVED 2017-10-16
  • TX RA
    APPROVED_RES
    Since 2020-05-12
  • CO RA
    APPROVED
    Since 2017-10-16

Branch Locations

4600 S. Ulster Street -Suite 700 Metro Point One, Denver, CO 80237 • United States

Denver, CO • 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
Double Doggie Llc Durham NC 08/2012 02/2017
Ubs Financial Services Inc. Denver CO 08/2017 Present
Unemployed Castle Rock CO 03/2017 07/2017
  • 08/2012 → 02/2017
    Double Doggie Llc
    Durham, NC
  • 08/2017 → Present
    Denver, CO
  • 03/2017 → 07/2017
    Unemployed
    Castle Rock, CO
Other Businesses

1. Functional Recovery & Enhancement, mobile wellness business, therapies and modalities include sauna and hyperbaric chamber, Advisor or advisory group member if advice given may influence an officer/board, advising on some marketing, accounting and finance, and some operational duties of the business, start date-11/18/2020, Cherry Creek United States80202.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-10-16
  • S66 Uniform Combined State Law Examination
    2017-10-16

View on SEC IAPD

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