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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2017-04-10
CA RA APPROVED 2008-02-04
  • TX RA
    APPROVED_RES
    Since 2017-04-10
  • CA RA
    APPROVED
    Since 2008-02-04

Branch Locations

355 Santana Row Suite 2050, San Jose, CA 95128 • 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 Financial Services Inc. San Jose CA 02/2008 Present
Previous Registrations
Other Businesses

NAME OF BUSINESSMACY'S WEST ADDRESS OF BUSINESSSTONESTOWN MALL, SAN FRANCISCO, CA NATURE OF BUSINESSRETAIL TITLEREGISTRY SPECIALIST START DATE11/11/2004 HOURS PER MONTH+/- 30 DUTIESFINALIZE SALES AT CASH REGISTRY

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-04-09
S63 Uniform Securities Agent State Law Examination 2001-08-25
  • S66 Uniform Combined State Law Examination
    2007-04-09
  • S63 Uniform Securities Agent State Law Examination
    2001-08-25

View on SEC IAPD

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