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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2005-08-03
  • GA RA
    APPROVED
    Since 2005-08-03

Branch Locations

8000 Avalon Blvd Suite 925, Alpharetta, GA 30009 • United States

Alpharetta, GA • 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 Alpharetta GA 11/2013 Present
Previous Registrations
  • 2003-02-18 → 2005-08-05
    Morgan Stanley Dw Inc.
    Alpharetta, GA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-03-26
S63 Uniform Securities Agent State Law Examination 1986-10-21
  • S65 Uniform Investment Adviser Law Examination
    1994-03-26
  • S63 Uniform Securities Agent State Law Examination
    1986-10-21
Other Names
  • Tori Pisciotta

View on SEC IAPD

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