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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-10-26
TX RA APPROVED_RES 1995-04-25
  • NY RA
    APPROVED
    Since 2021-10-26
  • TX RA
    APPROVED_RES
    Since 1995-04-25

Branch Locations

8 Main Street, Southampton, NY 11968-4819 • United States

8 Main Street, Southampton, NY 11968 • United States

1285 Avenue Of The Americas 15Th Floor Through 18Th Floor, New York, NY 10019 • United States

Southampton, NY • 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
Ubs Financial Services Inc. Southampton NY 08/1985 Present
Other Businesses

1) NOT APPLICABLE VARIOUS PUBLICATIONS,NPR RADIO, NEW YORK TIMES, GOOD HOUSKEEPING MAGAZINE / I WOULD LIKE TO BE ABLE TO SUBMIT PIECES, TO MAGAZINES FOR PUBLICATION, I HAVE WRITTEN THROUGH MY MASTERS CLASSES AT STONY BROOK SOUTHAMPTON CAMPUS. THESE ARE NOT FINACIALLY ORIENTED PIECES. / FREELANCE WRITER / START DATE 5-14-2007 / 12 HRS PER MONTH. /// 2) STITCH 89 JOBS LANE SOUTH HAMPTON, NY 11968 / CUSTOM FASHION DESIGN AND TAILORING BOUTIQUE. MY DUTIES WOULD BE TO OVERSEE THE SHOP ON A SATURDAY OR SUNDAY DURING THE SUMMER MONTHS WHEN THE EMPLOYEES NEEDED ME. / PRESIDENT / START DATE 5-15-2010 / 20 HRS PER MONTH. /// 3) HENRY AND MILO LLC / BUILDING FOR STITCH BUSINESS-SUZY AND ZOE LLC / 22 NUGENT ST SOUTHAMPTON, NY 11968 / OWNER / START DATE 01/10/2011 - / WILL THE ACTIVITY/BUSINESS INVOLVE SECURITIES TRADING, INVESTMENT, OR ADVICE? NO / 2 HRS PER MONTH. /// 4) REGINA AND ROSE LLC / 22 NUGENT STREET SOUTHAMPTON,NY 11968 / COMPANY/ WHOLESALE & MERCHANDISING / DESIGN AND MANUFACTURING AND WHOLESALING OF CLOTHING / OTHER / 50 PERCENT MEMBER OF LLC / DESIGNING AND MANUFACTURING OVERSIGHT AND SALES OF GARMENTS / START DATE 5/15/2014 /// 5) Tess & QT LLC; Organization - Company; Nature of Business - a single family house that is rented; Role - Partner; Duty- Collect rent, maintain home, Compensation - No /// 6) NAME OF OTHER BUSINESS: South Fork bakery / INVESTMENT RELATED?: N / ADDRESS: Sag harbor, NY/ NATURE OF THE BUSINESS:I will be on their board of directors / POSITION: Member of Board of Directors / DUTIES: Oversee with other board members the strategic growth and operations of this entity- this entity provides work for people with disabilities and also trains individuals for work / START DATE: 3/8/2023 / HOURS DEVOTED TO BUSINESS: NA /// 7) Name of the Business: Albertus Magnus College./ Address: 700 Prospect Street. New Haven. Connecticut United States 06511./ Investment Related: No./ Nature: be on the board of directors, attend meetings and functions at the College./ Role: Member of Board of directors./ Duty: attend board meetings 3 times a year and help to get more alumni involved in the College./ Start Date: 5/2/2023./ Hours Devoted: No./ Time Required: No. /// 8) Suzy and Zoe LLC; Southhampton, NY 11968; Company; Retailers (Apparel, Food, General); I sell products I make on the internet or directly with customers -hats and other items. Also I am developing for sale a cereal.; Privately Held; Partner; Managing member of this LLC; Start date: 5/15/2010 10) Currently the house is in my name only as of the next couple of days- it will be transferred into an LLC sometime in the first quarter, single family home for rent, Proprietor / owner, take care of collecting rent and paying mtg and bills, start date-11/18/2019, SouthamptonNYUnited States-11968

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-10-05
S63 Uniform Securities Agent State Law Examination 1985-11-01
  • S65 Uniform Investment Adviser Law Examination
    1995-10-05
  • S63 Uniform Securities Agent State Law Examination
    1985-11-01
Other Names
  • Rosemarie Siefert Flanagan
  • Rosemarie Flanagan

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