Joan A. Stern

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APP_PEND_IARCE	2026-01-01

CA RA
APP_PEND_IARCE

Since 2026-01-01

Branch Locations

3011 Townsgate Road Suite 300, Westlake Village, CA 91361 • United States

Agoura Hills, 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

Organization	City	State	From	To
Ubs Financial Services Inc.	Westlake Villag	CA	06/2006	Present

06/2006 → Present

Ubs Financial Services Inc.

Westlake Villag, CA

Other Businesses

Private College Counseling Home Residence - College Endeavors LLC/ Category - Sole proprietorship/ Principal Business Activity - Independent college counselor/ Role -Proprietor / owner/ Duty - Independent college admissions consulting/ Compensation - Yes

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2002-08-02

S66 Uniform Combined State Law Examination

2002-08-02

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Other Businesses

Exams

Other Firms

Other Investors

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