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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2023-07-21
CO RA APPROVED 2023-07-20
NY RA APPROVED 2023-07-20
CA RA APPROVED 2023-07-10
UT RA APPROVED 2023-07-10
TX RA APPROVED 2021-08-13
  • FL RA
    APPROVED
    Since 2023-07-21
  • CO RA
    APPROVED
    Since 2023-07-20
  • NY RA
    APPROVED
    Since 2023-07-20
  • CA RA
    APPROVED
    Since 2023-07-10
  • UT RA
    APPROVED
    Since 2023-07-10
  • TX RA
    APPROVED
    Since 2021-08-13

Branch Locations

100 Crescent Court Suite 400, Dallas, TX 75201 • 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
J.P. Morgan Securities Llc Dallas TX 10/2010 Present
J.P. Morgan Chase Bank, Na Dallas TX 11/2016 Present
Ubs Financial Services Dallas TX 07/2021 Present
  • 10/2010 → Present
    Dallas, TX
  • 11/2016 → Present
    J.P. Morgan Chase Bank, Na
    Dallas, TX
  • 07/2021 → Present
    Ubs Financial Services
    Dallas, TX
Previous Registrations
Other Businesses

1) Entity Name: Gunawan 2005 Life Insurance Trust Investment related: Yes Address: 610 Houston, TX Nature of the other business: Life Insurance Trust Position/Title/Relationship: Trustee Start Date: 01-Jan-2005 Approximate # of hours a month: 1 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Notifying beneficiaries of crummy powers and paying premiums. /// 2) Entity Name: Gunawan Family Limited Partnership Investment related: Yes Address: 925 Dallas, TX Nature of the other business: Holds liquid investments, I am a limited partner. Position/Title/Relationship: Investor Start Date: 01-Dec-2005 Approximate # of hours a month: 0-1 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: As limited partner I consult and receive reporting on the investments. /// 3) Entity Name: Kidd's Kids - The Kraddick Foundation Investment related: Yes Address: 220 Irving TX Nature of the other business: Provide children who have a chronic or terminal illness or are physically challenged, with an all-expenses paid vacation to Walt Disney World®. Position/Title/Relationship: Other Start Date: 14-Oct-2014 Approximate # of hours a month: 2-5 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Treasurer /// 4) The Lamplighter School, Dallas TX, United States, Educational Establishment, Lamplighter has asked me to continue to serve on the audit and risk committee for the school for the 2024-2025 school year, Advisor or advisory group member if advice given may influence an officer/board, The mission of the audit and risk committee is to assist and advise the school board on issues primarily related to the School's audited financial reporting, including external and internal audit functions, enterprise risk management, compliance with law and regulations oversight and review of the school's insurance programs, and cyber security, start date-8/21/2024, Lamplighter is a private school in Dallas TX for Pre-K through 4th grade, I am an active volunteer and community member. /// 5) Parish Episcopal School; Dallas, TX 75244; Educational Establishment; Education; Parish Episcopal School is a co-educational day school located on two campuses in Dallas, Texas, US. The college preparatory school enrolls students in grades Pre-K-12. In 2015-2016 school year, 1,130 students were enrolled, making Parish the 3rd largest private school in Dallas County.; Member of Board of directors; Parish has asked me to join the endowment board. In this role, I will serve as a board member to oversee the Parish endowment.; Start date: 2/28/2025 6) MAG Legacy Holdings LLC, Personal investment company established to acquire and maintain future real estate holdings, Proprietor / owner, I am the sole managing member so will be responsible for any investment and operation activity, start date-2/1/2023, DallasTXUnited States-75208

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-08-02
  • S66 Uniform Combined State Law Examination
    2004-08-02
Designations
Other Names
  • Leslie Stephanie Gunawan
  • Leslie G Johnson
  • Leslie S Gunawan

View on SEC IAPD

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