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Mario Antonio Rosas

Ubs Financial Services Inc.

San Diego, CA

El Cajon, CA

Bonita, CA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-04-11
TX RA APPROVED_RES 2010-01-19
CA RA APPROVED 2010-01-01
  • FL RA
    APPROVED
    Since 2024-04-11
  • TX RA
    APPROVED_RES
    Since 2010-01-19
  • CA RA
    APPROVED
    Since 2010-01-01

Branch Locations

600 West Broadway Suite 2800, San Diego, CA 92101 • United States

El Cajon, CA • United States

Bonita, CA • 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 International Inc San Diego CA 06/2006 Present
Ubs Financial Services Inc. San Diego CA 01/2010 Present
Previous Registrations
  • 2006-06-20 → 2010-01-01
    Ubs International Inc.
    San Diego, CA
  • 2003-01-02 → 2006-06-21
    Banc Of America Investment Services, Inc.
    San Diego, CA
    San Diego, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-12-30
S63 Uniform Securities Agent State Law Examination 2001-12-14
  • S66 Uniform Combined State Law Examination
    2002-12-30
  • S63 Uniform Securities Agent State Law Examination
    2001-12-14

View on SEC IAPD

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