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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2025-01-02
TX RA APPROVED_RES 2000-07-10
  • TN RA
    APPROVED
    Since 2025-01-02
  • TX RA
    APPROVED_RES
    Since 2000-07-10

Branch Locations

6070 Poplar Avenue Suite 400, Memphis, TN 38119 • United States

1717 West Massey Road, Memphis, TN 38120 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. Memphis TN 03/2000 Present
Other Businesses

St Peter Catholic Church Finance Committee / 190 Adams Ave. Memphis,TN 38103 / Other/ Other Catholic Church / Religion / Member of Board of Directors / / Help Pastor or Church with budget and investment monitoring / Start Date 01/01/2017/ Catholic Church / River Arts Fest / P O Box 40001 Memphis, Tennessee 38174 / United States / Charity / Raise Money for arts in the community / Member of Board of directors / Finance Director / Start Date 10/1/2019 / Rental Property, Proprietor / owner, manage and lease condo's, start date-12/30/2017,MemphisTNUnited States-38103

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-02-22
S63 Uniform Securities Agent State Law Examination 1985-12-20
  • S65 Uniform Investment Adviser Law Examination
    1996-02-22
  • S63 Uniform Securities Agent State Law Examination
    1985-12-20
Other Names
  • Don Williams

View on SEC IAPD

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