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Jon S. Stephen Roy

Ubs Financial Services Inc.

New York, NY

New York, NY

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-09-16
NY RA APPROVED 2021-10-26
  • TX RA
    APPROVED
    Since 2024-09-16
  • NY RA
    APPROVED
    Since 2021-10-26

Branch Locations

299 Park Ave 8Th, 9Th 11Th Floor, New York, NY 10171 • United States

200 Park Avenue 30Th Floor, New York, NY 10166 • 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
Smith Barney Ny NY 07/1989 Present
Ubs Financial Services Inc. New York NY 11/1997 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-01-07
S63 Uniform Securities Agent State Law Examination 1988-08-25
  • S65 Uniform Investment Adviser Law Examination
    2006-01-07
  • S63 Uniform Securities Agent State Law Examination
    1988-08-25
Other Names
  • Jon Stephen Roy

View on SEC IAPD

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