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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 2006-03-10
CO RA APPROVED 1999-01-01
  • TX RA
    APPROVED_RES
    Since 2006-03-10
  • CO RA
    APPROVED
    Since 1999-01-01

Branch Locations

Lakewood, CO • United States

370-17Th Street, Denver, CO 80202 • 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 Denver CO 07/2013 Present
Other Businesses

ENCRYPTX / COMPUTER ENCRYPTION SERVICES TO VARIOUS INDUSTRY /PRIVATELY HELD /START DATE 02/23/2004 Lakewood Country Club 6800 W 10th Avenue / United States/ www.lakewoodcountryclub.net No / Other / Start Date 4/30/19/ 80214 No / No JeffCo Boys & Girls Club 1275 South Teller Street / United States/ https://www.bgcmd.org/clubs/jefferson-county-boys-girls-club/ No / Charity / Start Date 4/22/19/ 80232 No / No

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-04-22
S63 Uniform Securities Agent State Law Examination 1986-09-22
  • S65 Uniform Investment Adviser Law Examination
    1999-04-22
  • S63 Uniform Securities Agent State Law Examination
    1986-09-22
Designations

View on SEC IAPD

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