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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-07-26
CA RA APPROVED 2021-03-05
  • TX RA
    APPROVED
    Since 2021-07-26
  • CA RA
    APPROVED
    Since 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

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
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
  • 04/2012 → 02/2021
    Jpmorgan Securities Llc
    Westlake Village, CA
  • 04/2012 → 02/2021
    Jpmorgan Chase Bank Na
    Westlake Village, CA
  • 02/2021 → Present
    Los Angeles, CA
Previous Registrations
  • 2009-06-26 → 2012-04-30
    Los Angeles, CA
  • 2006-04-17 → 2008-06-25
    Eplanning Advisors Inc
    Roseville, CA
  • 2006-02-01 → 2006-04-18
    Financial West Group
    Santa Monica, CA
    Westlake Village, CA
  • 2003-02-25 → 2005-01-27
    Banc Of America Investment Services, Inc.
    Los Angeles, CA
  • 2001-07-19 → 2003-02-27
    Morgan Stanley Dw Inc.
    San Mateo, CA
Other Businesses

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.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-03-05
S63 Uniform Securities Agent State Law Examination 1999-10-19
  • S65 Uniform Investment Adviser Law Examination
    2021-03-05
  • S63 Uniform Securities Agent State Law Examination
    1999-10-19
Other Names
  • Ryan Scott Bristol
  • Ryan Bristol

View on SEC IAPD

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