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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2011-04-01
  • FL RA
    APPROVED
    Since 2011-04-01

Branch Locations

1010 S. Federal Highway Suite 2601, Hallandale Beach, FL 33009 • United States

Plantation, FL • 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 Financial Services Inc Aventura FL 03/2011 Present
Previous Registrations
Other Businesses

NORTH DADE SOUTH BROWARD ESTATE PLANNING COUNCIL / TRUST / EDUCATION / EDUCATIONAL ORGANIZATION / OTHER INCOMING PRESIDENT / ADMISTER BOARD POLICIES / START DATE 05/28/2008. 2)MunPrecLLC / 11960 NW 8th ST Plantation,FL 33325 / Other/ Real Estate / Buy and Sell Real Estate / Other / Managing Member / Purchase and sale of real estate / Start Date 3/25/16 LLC /

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-04-28
S63 Uniform Securities Agent State Law Examination 1987-02-27
  • S65 Uniform Investment Adviser Law Examination
    1993-04-28
  • S63 Uniform Securities Agent State Law Examination
    1987-02-27

View on SEC IAPD

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