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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
AL RA APPROVED 2024-04-11
FL RA APPROVED 2019-06-21
GA RA APPROVED 2003-01-13
TX RA APPROVED_RES 1997-06-05
  • AL RA
    APPROVED
    Since 2024-04-11
  • FL RA
    APPROVED
    Since 2019-06-21
  • GA RA
    APPROVED
    Since 2003-01-13
  • TX RA
    APPROVED_RES
    Since 1997-06-05

Branch Locations

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

Perdido Key, FL • United States

Fairhope, AL • 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 Alpharetta GA 02/1994 Present
Other Businesses

1) VDM 305, LLC / Perdido Key /FL 32507/ United States/ personal LLC/ Real Estate/ my primary residence which is occasionally rented out when I am not using it, a beach condo/ Proprietor / owner/ Live there, pay normal expenses, pay the mortgage, utilities, cleaning etc./ Receive compensation?: Yes/ Investment in company?: Yes, 100%/ Authority to make investment decisions?: Yes/ Start Date 8/17/2020 /// 2) TND Holdings, LLC / Perdido Key / FL 32507/United States/ LLC, my attorney recommended I put my primary residence into an LLC and then a Delaware Holding company for asset protection and estate planning as it is a beach condo and will be rented on occasion when I am not there. / Real Estate/ To hold any other LLC's that I may own, current and future and to provide additional layer of asset protection/ Proprietor / owner/ pay bills, collect rent, repairs and maintenance, file tax return/ Receive compensation?: Yes/ Investment in company?: Yes, 100%/ Authority to make investment decisions?: Yes / Start Date 8/17/2020. 3)My Jubilee, LLC,AlabamaUnited States,LLCReal Estate,rental home,Proprietor / owner,Typical duties as an owner of rental propertyStart date -1/1/2026 4) Dollars and Sense Properties, LLC, My previous home became rental property and for estate planning purposes my attorney recommended I put in this old and up until now empty LLC, Proprietor / owner, managerial, collect rent, organize repairs, pay bills, lease and eventually sell, start date-1/7/2021, Alpharetta/Fulton Georgia United States-30005

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-09-24
S63 Uniform Securities Agent State Law Examination 1986-12-09
  • S65 Uniform Investment Adviser Law Examination
    1993-09-24
  • S63 Uniform Securities Agent State Law Examination
    1986-12-09
Designations

View on SEC IAPD

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