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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2025-11-10
NC RA APPROVED 2025-01-02
  • NJ RA
    APPROVED
    Since 2025-11-10
  • NC RA
    APPROVED
    Since 2025-01-02

Branch Locations

11325 North Community House Road Suite 600, 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
Music As Language Morgan Hill CA 05/2016 05/2018
United States Marine Corps Havelock NC 10/2019 10/2024
Ubs Financial Services Charlotte NC 11/2024 Present
Bellarmine College Preparatory San Jose CA 11/2014 05/2018
California State University Maritime Academy Vallejo CA 08/2018 07/2019
  • 05/2016 → 05/2018
    Music As Language
    Morgan Hill, CA
  • 10/2019 → 10/2024
    United States Marine Corps
    Havelock, NC
  • 11/2024 → Present
    Ubs Financial Services
    Charlotte, NC
  • 11/2014 → 05/2018
    Bellarmine College Preparatory
    San Jose, CA
  • 08/2018 → 07/2019
    California State University Maritime Academy
    Vallejo, CA
Other Businesses

Name: Mintz Rentals Investment Related: No Address: 100 Redbud Ct, Havelock, NC 28532 Nature: Property Rental Position: Sole Proprietor Title: Owner Start of Relationship: October 19, 2024 Hours/month devoted: 2 Hours devoted during trading hours: 0 Duties: Administer lease contracts, address tenant maintenance concerns

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-09-06
  • S66 Uniform Combined State Law Examination
    2024-09-06

View on SEC IAPD

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