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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 2022-08-08
CA RA APPROVED 2015-11-23
  • TX RA
    APPROVED_RES
    Since 2022-08-08
  • CA RA
    APPROVED
    Since 2015-11-23

Branch Locations

2000 Avenue Of The Stars 12Th Floor South, Los Angeles, CA 90067 • United States

Playa Del Rey, CA • 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 Los Angeles CA 11/2015 Present
Previous Registrations
  • 2011-06-16 → 2015-12-18
    Credit Suisse Securities (Usa) Llc
    Los Angeles, CA
  • 2006-03-29 → 2011-06-15
    Los Angeles, CA
    Los Angeles, CA
    New York, NY
  • 2003-05-14 → 2006-03-14
    Ubs International Inc.
    Los Angeles, CA
Other Businesses

Swiss American Chamber of Commerce / United States / Administration, c/o 1430 South Grand Avenue #256 / Glendora / CA / United States / 91740 / http://www.amchamla.com/ / No / Association (e.g. Trade or Industry, Sport) / / Other / Chamber of Commerce / The Swiss-American Chamber of Commerce plays a vital and active role in assisting Swiss companies in the United States and U.S. companies in Switzerland to expand their business. The Swiss-American Chamber of Commerce is a not-for-profit organization. / Active / Other / Treasurer of Los Angeles Chapter / Treasurer / 17 / No / No / No / No / Start Date 10/01/2018 / / No / / No / / No / No No / Los Angeles, USA / No / / No / / I was born in Switzerland and have been attending SACC events for many years. Two of my co-workers are on the board. / No /

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-11-09
  • S66 Uniform Combined State Law Examination
    2000-11-09

View on SEC IAPD

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