John J. Cowley

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
IN	RA	APPROVED	2023-06-08
TX	RA	APPROVED_RES	2014-10-17
CA	RA	APPROVED	2013-02-04

IN RA
APPROVED

Since 2023-06-08
TX RA
APPROVED_RES

Since 2014-10-17
CA RA
APPROVED

Since 2013-02-04

Branch Locations

135 S. State College Blvd Suite 650, Brea, CA 92821 • United States

Upland, CA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc.	Brea	CA	01/2013	Present

01/2013 → Present

Ubs Financial Services Inc.

Brea, CA

Previous Registrations

2009-06-01 → 2013-02-19

Morgan Stanley

Brea, CA
2003-06-09 → 2009-06-01

Citigroup Global Markets Inc.

Brea, CA

Brea, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2001-06-29
S63	Uniform Securities Agent State Law Examination	1997-12-05

S65 Uniform Investment Adviser Law Examination

2001-06-29
S63 Uniform Securities Agent State Law Examination

1997-12-05

Other Names

John Joseph Cowley

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews