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Susan Jennifer Markham

Ubs Financial Services Inc.

Los Gatos, CA

Santa Cruz, CA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2022-09-30
TX RA APPROVED 2022-09-29
  • CA RA
    APPROVED
    Since 2022-09-30
  • TX RA
    APPROVED
    Since 2022-09-29

Branch Locations

750 University Avenue Suite 250, Los Gatos, CA 95032 • United States

Santa Cruz, 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
Morgan Stanley Santa Cruz CA 06/2009 09/2022
Ubs Financial Services Inc. Los Gatos CA 09/2022 Present
Previous Registrations
  • 2009-06-01 → 2022-10-13
    Morgan Stanley
    Santa Cruz, CA
  • 2008-11-14 → 2009-06-01
    Morgan Stanley & Co. Llc
    Santa Cruz, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-11-13
S63 Uniform Securities Agent State Law Examination 2002-03-19
  • S65 Uniform Investment Adviser Law Examination
    2008-11-13
  • S63 Uniform Securities Agent State Law Examination
    2002-03-19
Other Names
  • Susan J Markham
  • Suzi Markham

View on SEC IAPD

Other Firms

STRATEGIC ADVISERS LLC
J.P. MORGAN SECURITIES LLC
REACT INVESTMENT SOLUTIONS, LLC
LEGACY CAPITAL GROUP CALIFORNIA, INC.
INTEGRITY ALLIANCE, LLC.
CHARLES SCHWAB & CO., INC.
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
LOS GATOS FINANCIAL LLC

Other Investors

HARRY SAPUTRA
JENNIFER TRAN
ZACHARY D. LEVY
MARCELA GUADALUPE GONZALEZ
JOYCE WONG IRMER
LUCAS ORME
DIEU TRAN
ELYSSA JOY QUILLA VERZOSA

Other Offices

STRATEGIC ADVISERS LLC · LOS GATOS, CA
J.P. MORGAN SECURITIES LLC · LOS GATOS, CA
REACT INVESTMENT SOLUTIONS, LLC · LOS GATOS, CA
LEGACY CAPITAL GROUP CALIFORNIA, INC. · LOS GATOS, CA
INTEGRITY ALLIANCE, LLC. · Los Gatos, CA
CHARLES SCHWAB & CO., INC. · Los Gatos, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS GATOS, CA
LOS GATOS FINANCIAL LLC · LOS GATOS, CA

More in Los Gatos, CA

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