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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2010-09-17
TX RA APPROVED_RES 2009-07-06
  • MI RA
    APPROVED
    Since 2010-09-17
  • TX RA
    APPROVED_RES
    Since 2009-07-06

Branch Locations

730 Penniman Avenue, Plymouth, MI 48170 • United States

340 South Main Street, Plymouth, MI 48170 • United States

1200 Harbor Boulevard, Weehawken, NJ 07086 • 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 Plymouth MI 03/2009 Present
Other Businesses

1. Riverhouse Capital Management LLC, Vacation home , private property, Proprietor / owner, start date-5/14/2019, MioMI United States-48647.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-05-12
S63 Uniform Securities Agent State Law Examination 1987-10-05
  • S65 Uniform Investment Adviser Law Examination
    1998-05-12
  • S63 Uniform Securities Agent State Law Examination
    1987-10-05

View on SEC IAPD

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