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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2013-08-12 |
| ME | RA | APPROVED | 2002-09-25 |
Branch Locations
One City Center 10Th Floor, Portland, ME 04101 • United States
One City Center 7Th Floor, Portland, ME 04101 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Portland | ME | 01/1995 | Present |
Rotary Club; Yarmouth, Maine; Foundation; Service Organization; Community Service; Member of Board of directors; approve expenditures of an annual budget of less than $10.000; Start date: 7/1/2017
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-01-24 |
| S63 | Uniform Securities Agent State Law Examination | 1986-07-29 |
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