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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
LA RA APPROVED 2015-11-16
TX RA APPROVED_RES 2015-10-28
  • LA RA
    APPROVED
    Since 2015-11-16
  • TX RA
    APPROVED_RES
    Since 2015-10-28

Branch Locations

7150 Jefferson Highway, Baton Rouge, LA 70806 • 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. Baton Rouge LA 10/2015 Present
Previous Registrations
Other Businesses

1) FJMHC, LLC ---- NEW NAME IS PLEASANT OAKS PARK LLC / ADDRESS: BATON ROUGE, LA / NATURE OF THE BUSINESS: BUSINESS OWNER / POSITION/TITLE: PROPRIETOR/OWNER / INVESTMENT RELATED:NO / START DATE: 03/01/2009 / HOURS PER MONTH DEVOTED TO THIS BUSINESS: 5 / HOURS PER MONTH DEVOTED TO THIS BUSINESS DURING TRADING HOURS: 0 / DESCRIPTION OF DUTIES: I OVERSEE THE MGR OF THE PROPERTY /// 2) Pleasant Oaks Homes, LLC / 1300 Steele Blvd. Baton Rouge, Louisiana 70806 / Sole proprietorship/ Real Estate / Rental Properties / Sole proprietorship / / I own it - I have a full time manager that reports to me / Start Date 03/02/2009 /// 3) Pleasant Oaks Mobile Home Park / Sole proprietorship / Mobile Home Park - Rental Property / Sole proprietorship / I own the Park - the Manager runs the park. IF there is an issue -- I get a call for a decision /// 4) 13405, LLC / Sole proprietorship / Rent House / Sole proprietorship / I own this rental property /// 5) JGM Investments / Other / Real Estate / Real Estate / Rental Property / Proprietor / owner / I am the sole 100% Owner /// 6) Mann Energy, LLC / Other / I want approval to invest in an Oil Well venture via a private investment with MKJ Xploration. To hold this investment, I have opened the Mann Energy, LLC & I am the sole owner. I will have No Role beyond that of Investor with MKJ Xploration. / This is the purchase and drilling of an Oil Well in Florida via MKJ Xploration. Mann Energy, LLC will simply hold my 3% share. Beyond investing, I have no role in MKJ Xploration. / Proprietor / owner / Nothing - Just the owner of the LLC 7) Mann Investments, Rental Property, Sole proprietorship, I own these 2 condos as rental properties, start date-6/1/2000, Baton Rouge LAUSA 70806

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-08-17
S63 Uniform Securities Agent State Law Examination 1989-05-24
  • S65 Uniform Investment Adviser Law Examination
    2000-08-17
  • S63 Uniform Securities Agent State Law Examination
    1989-05-24
Other Names
  • Johnny Mann

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