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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2023-05-04
TX RA APPROVED 2023-05-04
  • NY RA
    APPROVED
    Since 2023-05-04
  • TX RA
    APPROVED
    Since 2023-05-04

Branch Locations

1055 Franklin Avenue Suite 300, Garden City, NY 11530 • United States

Southold, NY • 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 Great Neck NY 01/1987 05/2023
Bank Of America,Na Great Neck NY 12/2009 05/2023
Ubs Financial Services Inc Garden City NY 05/2023 Present
Previous Registrations
Other Businesses

I*128648 For profit or not for profit: Non-Profit Organization Name of outside business organization: Oakcliff Sailing Investment related: N Address of business: Oyster Bay, New York 11771 Nature of business: Charitable Organization, Position, title, association: Advisory Board Member, Start date of relationship: 10/1/2019 Number of hours devoted: 2 hour(s) Quarterly Number of hours devoted during trading hours: 0 Duties: Board of directors - Provide sail for underprivileged youth I*131359 For profit or not for profit: Non-Profit Organization Name of outside business organization: St. Francis Heart Hospital Investment related: N Address of business: Roslyn, New York 11576 Nature of business: Charitable Organization, Position, title, association: Advisory Board Member, Start date of relationship: 12/2/2019 Number of hours devoted: 2 hour(s) Quarterly Number of hours devoted during trading hours: 0 Duties: Hospital 3) Name of Business: St. Francis Hospital Foundation./ Address: 100 Point Washington Boulevard Roslyn United States 11576./Investment Related: No./Nature: he Guild of St. Francis Hospital Foundation is an auxiliary organization that hosts fundraising events in support of the Hospital. It was established in 1941 by active women in the community interested in supporting their local cardiac center. The Guild has grown by several thousand members and is led by a Board of Directors. Members of the Guild may also volunteer to serve on committees for their annual events./ Role: Member of Board of directors./ Duty: Fundraising./ Start Date: 1/1/2017./ Hours Devoted: No. 4) NPKGW LLC, ManhassetNew York United States-11030, LLCReal Estate, Operational activity for family home renovation project, Managing Member of the operations of the entity, start date- 11/14/2023.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-09-03
S63 Uniform Securities Agent State Law Examination 1987-04-16
  • S65 Uniform Investment Adviser Law Examination
    1996-09-03
  • S63 Uniform Securities Agent State Law Examination
    1987-04-16
Other Names
  • Paul L Cuneo

View on SEC IAPD

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