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Alexander Richard Johnson

Ubs Financial Services Inc.

Baltimore, MD

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-08-26
PA RA APPROVED 2024-07-23
MD RA APPROVED 2021-10-11
  • TX RA
    APPROVED
    Since 2024-08-26
  • PA RA
    APPROVED
    Since 2024-07-23
  • MD RA
    APPROVED
    Since 2021-10-11

Branch Locations

500 East Pratt Street, Baltimore, MD 21202 • 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
The Vanguard Group, Inc. Malvern PA 07/2017 09/2021
Dakota Funds Group Haverford PA 05/2016 02/2017
Saint Joseph's University Philadelphia PA 08/2013 05/2017
Ubs Financial Services Baltimore MD 09/2021 Present
  • 07/2017 → 09/2021
    The Vanguard Group, Inc.
    Malvern, PA
  • 05/2016 → 02/2017
    Dakota Funds Group
    Haverford, PA
  • 08/2013 → 05/2017
    Saint Joseph's University
    Philadelphia, PA
  • 09/2021 → Present
    Ubs Financial Services
    Baltimore, MD
Other Businesses

Employee of The Vanguard Group, Inc. (parent company of Vanguard Marketing Corporation) 100 Vanguard Blvd., Malvern, PA 19355.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2017-09-06
  • S63 Uniform Securities Agent State Law Examination
    2017-09-06
Designations
Other Names
  • Alex Johnson
  • Alexander Johnson

View on SEC IAPD

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Other Offices

EQUITYCOMPASS INVESTMENT MANAGEMENT, LLC · BALTIMORE, MD
PATIENT CAPITAL MANAGEMENT, LLC · BALTIMORE, MD
1919 INVESTMENT COUNSEL, LLC · BALTIMORE, MD
EQUITYCOMPASS INVESTMENT MANAGEMENT, LLC · BALTIMORE, MD
EQUITYCOMPASS INVESTMENT MANAGEMENT, LLC · BALTIMORE, MD
TRUIST ADVISORY SERVICES, INC. · BALTIMORE, MD
TRUIST ADVISORY SERVICES, INC. · BALTIMORE, MD
TRUIST ADVISORY SERVICES, INC. · BALTIMORE, MD

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