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Sue L Sullivan

Ubs Financial Services Inc.

Stuart, FL

New York, NY

New York, NY

Stuart, FL

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-11-08
NJ RA APPROVED 2021-05-25
  • NY RA
    APPROVED
    Since 2021-11-08
  • NJ RA
    APPROVED
    Since 2021-05-25

Branch Locations

Stuart, FL • United States

299 Park Ave 26Th Floor, New York, NY 10171 • United States

1285 Avenue Of The Americas 38Th Floor, New York, NY 10019 • United States

712 South East Ocean Blvd. Ground Floor, Stuart, FL 34994 • 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
J.P. Morgan Securities Llc New York NY 04/2015 04/2021
Ubs Financial S New York NY 05/2021 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-07-07
S63 Uniform Securities Agent State Law Examination 1995-08-09
  • S65 Uniform Investment Adviser Law Examination
    1999-07-07
  • S63 Uniform Securities Agent State Law Examination
    1995-08-09
Other Names
  • Sue L Sullivan
  • Susan Sullivan
  • Sue Lin Sullivan

View on SEC IAPD

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