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Stephen F. Fred Fairfax

Ubs Financial Services Inc.

Tacoma, WA

Shoreline, WA

Steamboat Springs, CO

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2023-08-17
ID RA APPROVED 2012-01-03
TX RA APPROVED_RES 2009-06-18
WA RA APPROVED 2009-04-09
  • CO RA
    APPROVED
    Since 2023-08-17
  • ID RA
    APPROVED
    Since 2012-01-03
  • TX RA
    APPROVED_RES
    Since 2009-06-18
  • WA RA
    APPROVED
    Since 2009-04-09

Branch Locations

1145 Broadway Suite 1400, Tacoma, WA 98402-3503 • United States

Shoreline, WA • United States

Steamboat Springs, CO • 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 Tacoma WA 04/2009 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-12-19
S63 Uniform Securities Agent State Law Examination 1987-12-04
  • S65 Uniform Investment Adviser Law Examination
    2001-12-19
  • S63 Uniform Securities Agent State Law Examination
    1987-12-04
Other Names
  • Stephen Fred Fairfax

View on SEC IAPD

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