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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2020-01-21
  • NC RA
    APPROVED
    Since 2020-01-21

Branch Locations

6100 Fairview Road 9Th Floor, Charlotte, NC 28277 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Cary NC 05/1998 Present
Previous Registrations
Other Businesses

I*72695 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: ARBONNE INVESTMENT RELATED: N ADDRESS OF BUSINESS: 9400 JERONIMO RD, IRVINE, CALIFORNIA 92618 NATURE OF BUSINESS: CORPORATION, POSITION, TITLE, ASSOCIATION: CONSULTANT, START DATE OF RELATIONSHIP: 6/2/2014 NUMBER OF HOURS DEVOTED: 10 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: SALESPERSON FOR SELLING ARBONEE PRODUCTS THROUGH CONNECTIONS AND HOME PARTIES

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1999-05-06
  • S66 Uniform Combined State Law Examination
    1999-05-06
Other Names
  • Laura Wynne

View on SEC IAPD

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