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Christopher Gale Pennington

Ubs Financial Services Inc.

San Diego, CA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2008-03-24
TX RA APPROVED 2008-03-20
  • CA RA
    APPROVED
    Since 2008-03-24
  • TX RA
    APPROVED
    Since 2008-03-20

Branch Locations

17180 Bernardo Center Drive Suite 100, San Diego, CA 92128 • 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 La Jolla CA 11/2013 Present
Previous Registrations
  • 2007-04-02 → 2008-03-27
    Morgan Stanley & Co. Llc
    San Diego, CA
  • 2001-10-12 → 2007-04-02
    Morgan Stanley Dw Inc.
    San Diego, CA
    San Diego, CA
Other Businesses

1)I AM REGISTERED AS AN OFFICER OF PENNINGTON'S INC. AUTO SALES AND LEASING. IT IS A PRIVATELY HELD NON-INVESTMENT RELATED BUSINESS. MY FATHER IS THE PRESIDENT. I AM NOT STRUCTURED TOWARD ANY PAY OTHER THAN OCCASSIONAL BONUSES FOR OUTSIDE SERVICES. IT IS PRIMARILY SET TO SAFEGUARD AGAINST ANY UNFORTUNATE CIRCUMSTANCE PERTAINING TO MY MOM OR DAD. 2)PMR HOLDINGS LLC / 14019 CHESTNUT HILL LANE SAN DIEGO,CA 92128 / COMPANY/ REAL ESTATE / INVESTING IN REAL ESTATE/HOTELS/RENTALS / PARTNER/ HELP DECIDE WHAT REAL ESTATE DEALS TO PARTICIPATE IN. / START DATE 09/02/2010. 3)Mercury Marine/ Category - Company/ Principal business activities - Simple representative of their Mercury Pro Team./ Role - marketing representative/ Duty - No specific outlined duties/ Comp - No 4)Sailing Hawk LLC/ Category- Company/Principal business activities -part time rental, real estate holding/ Role -Proprietor / owner/ Duty - Rental management/ Comp - No

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-11-21
  • S66 Uniform Combined State Law Examination
    2000-11-21
Other Names
  • Christopher Pennington

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