Warren Overman

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
WI	RA	APPROVED	2022-10-14
TX	RA	APPROVED_RES	2008-12-10
CA	RA	APPROVED	1999-03-24

WI RA
APPROVED

Since 2022-10-14
TX RA
APPROVED_RES

Since 2008-12-10
CA RA
APPROVED

Since 1999-03-24

Branch Locations

75 280 Highway 111, Indian Wells, CA 92210 • United States

74-710 Highway 111, Palm Desert, CA 92260 • United States

Williams Bay, WI • United States

Rancho Mirage, CA • 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

Organization	City	State	From	To
Ubs Financial Services Inc.	Palm Desert	CA	08/1998	Present

08/1998 → Present

Ubs Financial Services Inc.

Palm Desert, CA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2022-10-03
S63	Uniform Securities Agent State Law Examination	1987-12-08

S66 Uniform Combined State Law Examination

2022-10-03
S63 Uniform Securities Agent State Law Examination

1987-12-08

Other Names

Warren Cole Overman