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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2011-07-29
  • CT RA
    APPROVED
    Since 2011-07-29

Branch Locations

Wilton, CT • United States

600 Washington Blvd 9Th Floor, Stamford, CT 06901 • 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 Greenwich CT 01/2009 Present
Other Businesses

1) Shaws Acres Community Asociation / 80 Sand Beach Road Standish,Maine 04084 / Association (i.e., Trade or Industry, Sport...)/ Real Estate / Home owners Asoc / Member of Board of Directors / / Treasurer and Board Member / Start Date 8/1/2016/End Date 7/31/2018/ 43312 /1487629 start date 10/15/2018

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-07-28
S63 Uniform Securities Agent State Law Examination 1986-12-08
  • S65 Uniform Investment Adviser Law Examination
    2011-07-28
  • S63 Uniform Securities Agent State Law Examination
    1986-12-08

View on SEC IAPD

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