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Denise Ellen Manning

Ubs Financial Services Inc.

Greenwich, CT

Venice, FL

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2022-02-02
NY RA APPROVED 2021-12-11
TX RA APPROVED_RES 2002-12-02
CT RA APPROVED 1999-11-19
  • FL RA
    APPROVED
    Since 2022-02-02
  • NY RA
    APPROVED
    Since 2021-12-11
  • TX RA
    APPROVED_RES
    Since 2002-12-02
  • CT RA
    APPROVED
    Since 1999-11-19

Branch Locations

100 West Putnam Avenue 2Nd Floor, Greenwich, CT 06830 • United States

Venice, FL • 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. Greenwich CT 06/1999 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-09-30
S63 Uniform Securities Agent State Law Examination 1999-09-10
  • S65 Uniform Investment Adviser Law Examination
    1999-09-30
  • S63 Uniform Securities Agent State Law Examination
    1999-09-10
Other Names
  • Denise E Manning
  • Denise E Farrelly

View on SEC IAPD

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