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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-07-26 |
| CA | RA | APPROVED | 2021-03-05 |
Branch Locations
3011 Townsgate Road Suite 300, Westlake Village, CA 91361 • United States
2000 Avenue Of The Stars 12Th Floor South, Los Angeles, CA 90067 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jpmorgan Securities Llc | Westlake Village | CA | 04/2012 | 02/2021 |
| Jpmorgan Chase Bank Na | Westlake Village | CA | 04/2012 | 02/2021 |
| Ubs Financial Services Inc | Los Angeles | CA | 02/2021 | Present |
1) Entity Name: Bristol Family Trust / Investment related: Yes / Address: 42288 Shaver Lake, CA / Nature of the other business: This is a rental property rented through a property rental agency. / Position/Title/Relationship: Director/Owner / Start Date: 11-Feb-2016 / Approximate # of hours a month: 1-2 / Approximate # of hours during securities trading hours: 0 / Briefly describe your duties: Managing rental agency. /// 2) Wendy Gate House LLC / Company / Investment property that is rented through property manager / Proprietor / owner / Own investment property and rent it out. 3) Name of Business: Costa Montana Properties LLC./ Address: 205 Lakeside Blvd Lakeside MT United States 59922./Investment Related: Yes./Nature: Investment property that is rented through property manager./ Role: Proprietor / owner./ Duty: Own investment property and rent it out../ Start Date: 5/19/2023./ Time Required: N/A. 4) Name of Business: Casa Pacifica./ Address: 1722 Lewis Road Camarillo CAUnited States 93012./ Investment Related: No./ Nature: Casa Pacifica offers teen and family services to help youth who struggle with complex mental and behavioral health challenges. Our Camarillo, Santa Barbara, and Santa Maria offices work with more than 2,100 of the most vulnerable youth, aged 9-17, and their families every year./ Role: Member of Board of directors./ Duty: "The Board of Directors is the legal governing body of Casa Pacifica and the Board is responsible for oversight of all activities of the corporation. Specifically, it is the responsibility of the Board to: 1.Establish the mission, purpose, and scope of the agency; 2.Hire the Chief Executive Officer (""CEO""), periodically evaluate their performance, and plan forCEO succession; 3.Review and approve programs and services, assist in development of long-term goals and agencystrategic planning; 4.Review and approve annual budgets and monitor agency financial management; 5.Evaluate the operational effectiveness of the agency; 6.Develop a program of financial support; 7.Implement a self-sustaining board structure; and 8.Interface with the community, government departments and businesses that support or regulate theagency." Start Date: 9/1/2023./ Time Required: Yes.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-03-05 |
| S63 | Uniform Securities Agent State Law Examination | 1999-10-19 |
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