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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2021-09-13
TX RA APPROVED_RES 2006-08-11
VT RA APPROVED 2004-08-19
  • FL RA
    APPROVED
    Since 2021-09-13
  • TX RA
    APPROVED_RES
    Since 2006-08-11
  • VT RA
    APPROVED
    Since 2004-08-19

Branch Locations

38 Eastwood Drive Suite 400, South Burlington, VT 05403 • United States

Lauderdale By The Sea, FL • 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 South Burlington VT 07/2013 Present
Other Businesses

S&D HOLDINGS LLC / 7 LINDENWOOD DR JERICHO,VT 05465 / COMPANY/ REAL ESTATE / REAL ESTATE HOLDING LLC / SOLE PROPRIETORSHIP / / MEMBER / START DATE 05/14/2013 / Catherine M. Walsh Foundation / 463 74th St Brooklyn,NY 11209 / Foundation/ Charities, Cultural, Educational & Political Organisations / To distribute Funds to charaties, from the foundation / Member of Board of Directors / / As a board member I will help to ensure the foundation stays in complaince of applicable rules. And to ensure recipient charaties are complaint with state and fedaral regulations. / Start Date 10/1/15 /

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-07-28
S63 Uniform Securities Agent State Law Examination 1991-08-01
  • S66 Uniform Combined State Law Examination
    2004-07-28
  • S63 Uniform Securities Agent State Law Examination
    1991-08-01

View on SEC IAPD

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