Eric Andrew Wittenberg

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-11-30
TX	RA	APPROVED_RES	2015-11-23
NJ	RA	APPROVED	2015-11-20

NY RA
APPROVED

Since 2021-11-30
TX RA
APPROVED_RES

Since 2015-11-23
NJ RA
APPROVED

Since 2015-11-20

Branch Locations

Mount Kisco, NY • United States

1285 Avenue Of The Americas Floor 15 Thru 18, New York, NY 10019 • 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

Organization	City	State	From	To
Ubs Financial Services Inc.	New York	NY	11/2015	Present

11/2015 → Present

Ubs Financial Services Inc.

New York, NY

Previous Registrations

2010-05-06 → 2015-12-17

Credit Suisse Securities (Usa) Llc

New York, NY

Other Businesses

DESTILERIA CANECA, 2320 N MIAMI AVENUE, MIAMI, FL 33127, NON-INVESTMENT RELATED, START DATE: 04/2013, NATURE OF THE BUSINESS: DISTILLATION OF PREMIUM SPIRITS, ROLE IN ORGANISATION: DIRECTOR/ADVISORY BOARD MEMBER, 10 HRS PER MONTH, 0 HRS DURING SECURITIES TRADNING HOURS, DESCRIPTION OF DUTIES: ADVISORY BOARD MEMEBR FOR DEVELOPMENT OF PREMIUM SPIRITS BRANDS INCLUDING MIAMI CLUB RUM, PROVIDING FEEDBACK, GENERAL BUSINESS RECOMMENDATION AND OBSERVATIONS WITH THE GOAL OF ENHANCING PRODUCT SALES AND DISTRIBUTION Specialty Equipment Maket Association, Diamond Bar CA United States-91765, Association (e.g. Trade or Industry, Sport), Transport, The Specialty Equipment Market Association (SEMA) serves as a leading voice for the worldwide car culture, representing over 7,000 member companies that create, buy, sell, and use specialty-automotive parts that make vehicles more unique, attractive, convenient, safer, fun, and even like new again, Member of the Investment CommitteeThe entity utilizes an institutional consultant to oversee the investment portfolio. The Investment Committee meets quarterly to review the portfolio and approve any recommendations of the consultant, start date-5/27/2025.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2021-11-29
S65	Uniform Investment Adviser Law Examination	2010-06-21
S63	Uniform Securities Agent State Law Examination	1988-07-25

S66 Uniform Combined State Law Examination

2021-11-29
S65 Uniform Investment Adviser Law Examination

2010-06-21
S63 Uniform Securities Agent State Law Examination

1988-07-25

View on SEC IAPD