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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2008-12-09
TX RA APPROVED 2008-12-05
  • CA RA
    APPROVED
    Since 2008-12-09
  • TX RA
    APPROVED
    Since 2008-12-05

Branch Locations

750 University Avenue Suite 250, Los Gatos, CA 95032 • United States

Tahoe City, 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
OrganizationCityStateFromTo
Ubs Financial Services Inc Los Gatos CA 11/2013 Present
Previous Registrations
  • 2007-04-02 → 2008-12-08
    Morgan Stanley & Co. Llc
    San Jose, CA
  • 1997-07-08 → 2007-04-02
    Morgan Stanley Dw Inc.
    San Jose, CA
    San Jose, CA
Other Businesses

Los Gatos Littel League / Los Gatos LL Los Gatos,ca 95032 / Association (i.e., Trade or Industry, Sport...)/ Sport & Leisure Facilities / Baseball / Member of Board of Directors / / Raise funds for the league / Start Date 1/1/2017 /

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-02-15
S63 Uniform Securities Agent State Law Examination 1988-09-29
  • S66 Uniform Combined State Law Examination
    2008-02-15
  • S63 Uniform Securities Agent State Law Examination
    1988-09-29

View on SEC IAPD

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