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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2011-12-16
FL RA APPROVED 2010-01-01
  • TX RA
    APPROVED_RES
    Since 2011-12-16
  • FL RA
    APPROVED
    Since 2010-01-01

Branch Locations

4225 Ponce De Leon Blvd Suite 600, Coral Gables, FL 33146 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs International Inc. New York NY 06/2002 Present
Ubs Financial Services Inc. Coral Gables FL 01/2010 Present
Previous Registrations
  • 2002-06-03 → 2010-01-01
    Ubs International Inc.
    Coral Gables, FL
    Coral Gables, FL
  • 1996-11-15 → 2002-06-01
    Coral Gables, FL
Other Businesses

1)BELEN JESUIT PREP SCHOOL / 500 SW 127TH AVE MIAMI FL 33184 / EDUCATION / OTHER MEMBER / MEMBER OF SCHOOL ADVISORY BOARD / START DATE 07/05/2000. 2)UNIVERSITY OF MIAMI CITIZENS BOARD / 1320 SOUTH DIVIE HIGHWAY CORAL GABLES FL 33146 / OTHER / EDUCATION / OTHER MEMBER / AMBASSADORS TO THE UNIVERSITY / START DATE 07/15/1986. 3)AMIGOS OF THE CUBAN HERITAGE / UNIVERSITY OF MIAMI CORAL GABLES FLORIDA 33143 / EDUCATION /DIRECTOR / ASSIST IN PRESERVATION OF THE CUBAN HERITAGE COLLECTION / START DATE 01/02/1995. 4)Highpost Revolution Fund, L.P. , West Palm Beach FL United States , Investment Fund or Hedge Fund , Private Equity ,Highpost is a Private Equity Fund , Other Investor Investor ,Start date 5/27/2026

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-06-03
S63 Uniform Securities Agent State Law Examination 1997-07-16
  • S65 Uniform Investment Adviser Law Examination
    2009-06-03
  • S63 Uniform Securities Agent State Law Examination
    1997-07-16

View on SEC IAPD

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