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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2025-03-17
TX RA APPROVED_RES 2004-10-26
IL RA APPROVED 1997-09-22
  • FL RA
    APPROVED
    Since 2025-03-17
  • TX RA
    APPROVED_RES
    Since 2004-10-26
  • IL RA
    APPROVED
    Since 1997-09-22

Branch Locations

303 East Main Street 3Rd Floor, Barrington, IL 60010 • United States

257 East Main Street, Barrington, IL 60010 • 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. Barrington IL 08/1994 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-06-03
S63 Uniform Securities Agent State Law Examination 1986-06-05
  • S65 Uniform Investment Adviser Law Examination
    1992-06-03
  • S63 Uniform Securities Agent State Law Examination
    1986-06-05
Designations

View on SEC IAPD

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