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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2010-08-30 |
| OH | RA | APPROVED | 2007-02-09 |
Branch Locations
2055 Crocker Road, Westlake, OH 44145 • United States
Westlake, OH • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Cleveland | OH | 02/2007 | Present |
1) CORPORATE SUSTAINABILITY NETWORK CLEVELAND STATE UNIVERSITY, CLEVELAND, OH 44115/2 HRS. PER MONTH/CORPORATE ROUNDTABLE MEMBER. 2) SISTERS OF THE HUMILITY OF MARY / VILLA MARIA COMMUNITY CENTER VILLA MARIA, PA 16155 / TRUST / OTHER RELIGIOUS ORGANIZATION / THE CHARITABLE TRUST HOLDS THE INVESTMENT FOR THE RETIREMENT NEEDS AND THE CARE OF THE ELDERLY SISTERS OF THE CONGREGATION. / IS THIS AN INDUSTRY SECTOR ORGANIZATION? NO / TRUSTEE / THE TRUSTEES MANAGE, INVEST AND REINVEST THE TRUST FUND AND APPROVE DISTRIBUTIONS FROM THE FUND ACCORDING TO THE STATED PURPOSES OF THE FUND. THE MANAGEMENT IS DONE THROUGH HAMMOND ASSOCIATES, THE CURRENT INVESTMENT CONSULTANT FOR THE TRUST AND WITHIN THE / POTENTIAL DEALING WITH UBS? NO / START DATE 08/01/2010- 07/31/2012.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-05-05 |
| S63 | Uniform Securities Agent State Law Examination | 1988-11-17 |
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