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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-10-26
  • NY RA
    APPROVED
    Since 2021-10-26

Branch Locations

250 Delaware Avenue, Buffalo, NY 14202 • 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 Buffalo NY 04/2016 Present
  • 04/2016 → Present
    Ubs Financial Services
    Buffalo, NY
Other Businesses

1) Name of business: Lancaster Unleashed./ Address: P O Box 495 Lancaster NYUSA14086./ Investment Related: No./ Nature: to continue to raise funds for dog park./ Role: Officer- committee member./ Duty: attending meetings and volunteering for fundraising events - obtain the position of treasurer in addition to being a board member./ Start Date: 1/20/2016./ Time Required: No.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2009-10-19
  • S63 Uniform Securities Agent State Law Examination
    2009-10-19
Other Names
  • Sally Ann Schworm
  • Sally Allen

View on SEC IAPD

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