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Harold Frederick Toney

Ubs Financial Services Inc.

Peabody, MA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-02-18
  • TX RA
    APPROVED
    Since 2025-02-18

Branch Locations

8 Essex Center Drive 2Nd Floor, Peabody, MA 01960 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Wellesley MA 12/2013 02/2025
Bank Of America N.A. Wellesley Hills MA 01/2014 02/2025
Ubs Financial Services Inc. Boston MA 02/2025 Present
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1995-09-20
  • S63 Uniform Securities Agent State Law Examination
    1995-09-20
Other Names
  • Rick Toney
  • Harold F Toney
  • Harold Frederick Toney
  • Harold Toney Jr.
  • Harold Frederick Toney

View on SEC IAPD

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