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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2021-10-18
TX RA APPROVED_RES 2021-06-14
FL RA APPROVED 2008-11-21
  • CA RA
    APPROVED
    Since 2021-10-18
  • TX RA
    APPROVED_RES
    Since 2021-06-14
  • FL RA
    APPROVED
    Since 2008-11-21

Branch Locations

525 Okeechobee Blvd Suite 1500, West Palm Beach, FL 33401 • United States

West Palm Beach, FL • 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 Palm Beach FL 11/2008 Present
Previous Registrations
  • 2007-04-02 → 2008-11-10
    Morgan Stanley & Co. Llc
    Palm Beach, FL
  • 2001-04-12 → 2007-04-02
    Morgan Stanley Dw Inc.
    Palm Beach, FL
    Palm Beach, FL
Other Businesses

RODBELL FAMILY LLC / 701 S OLIVE AVE APT 1810 WEST PALM BEACH,FL 33401 / OTHER/ OTHER HOLDING COMPANY / HOLDINBG COMPANY FOR ASSET PROTECTION / OTHER / MANAGING MEMEBER / MAKE INVESTMENT DECSIONS / START DATE 7/15/09 /

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-10-20
S63 Uniform Securities Agent State Law Examination 1987-01-07
  • S65 Uniform Investment Adviser Law Examination
    1993-10-20
  • S63 Uniform Securities Agent State Law Examination
    1987-01-07

View on SEC IAPD

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