Bryce Christopher Herman

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
NV	RA	APPROVED	2023-11-02
TX	RA	APPROVED_RES	2010-07-01
CA	RA	APPROVED	2008-12-01

NV RA
APPROVED

Since 2023-11-02
TX RA
APPROVED_RES

Since 2010-07-01
CA RA
APPROVED

Since 2008-12-01

Branch Locations

12220 El Camino Real Suite 400, San Diego, CA 92130 • United States

Reno, NV • United States

Carlsbad, CA • 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

Organization	City	State	From	To
Ubs Financial Services Inc	San Diego	CA	11/2013	Present

11/2013 → Present

Ubs Financial Services Inc

San Diego, CA

Previous Registrations

2007-04-02 → 2008-12-01

Morgan Stanley & Co. Llc

Rancho Sante Fe, CA
2002-08-02 → 2007-04-02

Morgan Stanley Dw Inc.

Del Mar, CA

Rancho Sante Fe, CA

Del Mar, CA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2002-08-01
S63	Uniform Securities Agent State Law Examination	2001-03-06

S66 Uniform Combined State Law Examination

2002-08-01
S63 Uniform Securities Agent State Law Examination

2001-03-06

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

Other Investors

Other Offices

Reviews