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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-01-10
CA RA APPROVED 2019-12-16
  • TX RA
    APPROVED_RES
    Since 2022-01-10
  • CA RA
    APPROVED
    Since 2019-12-16

Branch Locations

2000 Avenue Of The Stars 12Th Floor South, Los Angeles, CA 90067 • 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
None Malibu CA 06/2016 02/2017
Northern Trust Bank Los Angeles CA 02/2017 12/2019
Northern Trust Securities, Inc Los Angeles CA 02/2017 12/2019
Ubs Financial Services Inc El Segunda CA 12/2019 Present
  • 06/2016 → 02/2017
    None
    Malibu, CA
  • 02/2017 → 12/2019
    Northern Trust Bank
    Los Angeles, CA
  • 02/2017 → 12/2019
    Northern Trust Securities, Inc
    Los Angeles, CA
  • 12/2019 → Present
    El Segunda, CA
Other Businesses

1. University of Southern California - Marshall School of Business / Bridge Hall One Los Angeles,CA 90089 / No/ Non Profit / USD / No / No / / 8/26/02 - current / 2)Stability LLC / 431 W. 7th Street Los Angeles,CA 90014 / Partnership/ Real Estate / Self Storage and Private Club operator / Member of Board of Directors / / Attend quarterly board meetings and provide input on strategic direction of the company / Start Date 3/28/08 / 2 hours per quarter. 3)Didi Hirsch Mental Health Services / 4760 S. Sepulveda Blvd. Culver City, CA 90230 / Member of Board of Directors / Attend quarterly board meetings and provide input on strategic direction of agency / Start Date: 7/1/14 / 6 hours per quarter 3) Name of Business -Sage SoCal/Address - Rolling Hills Estates, California/Investment Related -No/Nature - "Sage partners with Southern California schools to provide high quality mental health services free of charge to help students reach their full potential. We specifically provide crisis intervention, individual and group counseling and proactive mental health education for students; consultation and training for staff; and outreach to parents and the broader community. Sage currently employs a team of 30 professional therapists who work at 24 different schools in Los Angeles county."/Role - Member of Board of directors/Duty - Support and evaluate the Executive Director, Ensure effective planning, Monitor and strengthen programs and services, Provide proper financial oversight, Build a competent Board, Ensure legal and ethical practices, Enhance the organization's public standing, and Promote DEI/Start Date - 3/1/2024/Time Required - No 4)Kollab Youth"The Kollab Youth Workforce Development Program is an award winning 501(c)3 public charity organization and CA DAS Registered Pre-Apprenticeship Program created for under-resourced high school students aged 14 to 19 years old. The Kollab Youth program helps them explore career opportunities in business, STEM, and other emerging 21st century careers that are high-growth and high-wage jobs. Youths receive mentorship from industry experts and earn resume-worthy work experience through paid apprenticeships and internships - connecting them with the future workforce and preparing them to compete in tomorrow's workplace. CAUnited States,"? Develop and deliver the Kollab Youth Critical Thinking Program curriculum and webinars for inner city high school students in Los Angeles Start date -2/15/2026

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-09-16
S63 Uniform Securities Agent State Law Examination 1989-04-28
  • S66 Uniform Combined State Law Examination
    2016-09-16
  • S63 Uniform Securities Agent State Law Examination
    1989-04-28

View on SEC IAPD

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