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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 2019-11-13
NJ RA APPROVED 2012-12-14
  • NY RA
    APPROVED
    Since 2021-10-26
  • TX RA
    APPROVED_RES
    Since 2019-11-13
  • NJ RA
    APPROVED
    Since 2012-12-14

Branch Locations

299 Park Ave 8Th, 9Th 11Th Floor, New York, NY 10171 • United States

Thornwood, 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. New York NY 12/2012 Present
Previous Registrations
  • 2007-01-04 → 2012-12-21
    Credit Suisse Securities (Usa) Llc
    New York, NY
    Rye Brook, NY
    New York, NY
    Greenwich, CT
    New York, NY
Other Businesses

FERNCLIFF CEMETERY / 280 SECOR ROAD HARTSDALE,NY 10530 / ASSOCIATION (I.E., TRADE OR INDUSTRY, SPORT...)/ SERVICES (BUSINESS, PROFESSIONAL, SUPPORT) / BURIAL, CREMATION, INTERMENT / MEMBER OF BOARD OF DIRECTORS /DISCUSS GENERAL ISSUES INVOLVING CEMETERY INCLUDING FINANCE, DEVELOPMENT, GOVERNANCE, AUDIT; / START DATE 02/01/2009 - / Ferncliff Cemetery / 280 Secor Road Hartsdale,New York 10530 / Association (i.e., Trade or Industry, Sport...)/ Services (Business, Professional, Support) / burial, cremation, interment / Member of Board of Directors / / Discuss general cemetery issues / Start Date 02/01/2009 / Family Services of Westchester / , / / / / Member of Board of directors / / / Start Date 07/01/1993 /

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-01-03
S63 Uniform Securities Agent State Law Examination 2001-05-03
  • S66 Uniform Combined State Law Examination
    2007-01-03
  • S63 Uniform Securities Agent State Law Examination
    2001-05-03

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