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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 2010-01-19
CA RA APPROVED 2010-01-01
  • TX RA
    APPROVED_RES
    Since 2010-01-19
  • CA RA
    APPROVED
    Since 2010-01-01

Branch Locations

555 California Street 33Rd Floor, San Francisco, CA 94104 • United States

Pebble Beach, CA • United States

Pleasanton , CA • United States

Disclosures

2 disclosure categories 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 Yes
Employment History
OrganizationCityStateFromTo
Ubs International Inc San Francisco CA 05/2006 Present
Ubs Financial Services Inc. San Francisco CA 01/2010 Present
Previous Registrations
  • 2006-05-12 → 2010-01-01
    Ubs International Inc.
    San Francisco, CA
  • 2003-01-17 → 2006-05-26
    Credit Suisse Securities (Usa) Llc
    San Francisco, CA
  • 2002-06-26 → 2003-01-17
    Pershing Llc
    San Francisco, CA
Other Businesses

Grappa Capital LLC / 930 Pine Street, 214 san francisco,ca 94108 / Sole proprietorship/ Real Estate / rent fully-owned personal property / Sole proprietorship / / rent my own real estate to residents. / Start Date 10/1/15 / 2) Name of Business: The Stevenson School./ Address: 3152 Forest Lake Road Pebble Beach California United States93953./ Investment Related: No./ Nature: a selective coeducational PK-12 boarding and day school with 750 students./Role: Board of Trustee member./ Start Date: 10/1/2023./ Hours Devoted: N/A.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-11-05
S63 Uniform Securities Agent State Law Examination 1997-09-18
  • S66 Uniform Combined State Law Examination
    2001-11-05
  • S63 Uniform Securities Agent State Law Examination
    1997-09-18
Other Names
  • Stevenxiaoguang Sun
  • Stevenxiaoguang Sun
  • Xiaoguang Steven Sun
  • Steven Sun

View on SEC IAPD

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