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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 2026-05-18
CA RA APPROVED 2024-11-25
  • TX RA
    APPROVED_RES
    Since 2026-05-18
  • CA RA
    APPROVED
    Since 2024-11-25

Branch Locations

131 South Rodeo Drive Suite 300, Beverly Hills, CA 90212 • 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
First Republic Securities Co. Llc Los Angeles CA 08/2006 04/2017
First Republic Bank Los Angeles CA 08/2006 04/2017
First Republic Securities Company, Llc Los Angeles CA 04/2017 05/2023
First Republic Investment Management, Inc. Los Angeles CA 04/2017 05/2023
Ubs Financial Services, Inc. Beverly Hills CA 05/2023 Present
  • 08/2006 → 04/2017
    First Republic Securities Co. Llc
    Los Angeles, CA
  • 08/2006 → 04/2017
    First Republic Bank
    Los Angeles, CA
  • 04/2017 → 05/2023
    First Republic Securities Company, Llc
    Los Angeles, CA
  • 04/2017 → 05/2023
    First Republic Investment Management, Inc.
    Los Angeles, CA
  • 05/2023 → Present
    Beverly Hills, CA
Previous Registrations
  • 2010-07-09 → 2023-05-24
    J.P. Morgan Private Wealth Advisors Llc
    San Francisco, CA
  • 2009-04-23 → 2010-09-30
    First Republic Wealth Advisors, Llc
    San Francisco, CA
  • 2009-04-23 → 2009-10-01
    J.P. Morgan Private Wealth Advisors Llc
    San Francisco, CA
  • 2003-03-24 → 2006-08-22
    A. G. Edwards & Sons, Inc.
    Beverly Hills, CA
    Beverly Hills, CA
  • 2001-01-18 → 2003-02-05
    Beverly Hills, CA
Other Businesses

(1) Name: Wilshire Blvd. Temple Address: 3663 Wilshire Blvd., Los Angeles CA 90010 Investment-related: Yes Nature of the Business: non-profit organization Role: Investment Committee Description of Duties: Member of committee that provides input related to the temple's endowment portfolio Start Date: 1/4/2010 Number of hours each month: 0-1 Number of hours during trading: None

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-11-07
  • S66 Uniform Combined State Law Examination
    2000-11-07

View on SEC IAPD

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