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Barry Lewis Pinsky

Ubs Financial Services Inc.

Sherman Oaks, CA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2023-06-09
TX RA APPROVED_RES 2011-12-16
CA RA APPROVED 2008-11-26
  • NJ RA
    APPROVED
    Since 2023-06-09
  • TX RA
    APPROVED_RES
    Since 2011-12-16
  • CA RA
    APPROVED
    Since 2008-11-26

Branch Locations

15260 Ventura Boulevard Suite 1800, Sherman Oaks, CA 91403 • 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
OrganizationCityStateFromTo
Ubs Financial Services Inc Encino CA 11/2008 Present
Previous Registrations
Other Businesses

1)CAL CPA MAGAZINE / PROFESSIONAL ORGANIZATION / 1800 GATEWAY DR. SUITE 200 SAN MATEO, CA 94404 / WROTE AN ARTICLE / START DATE 01/03/2011 / WILL THE ACTIVITY/BUSINESS INVOLVE SECURITIES TRADING, INVESTMENT, OR ADVICE? NO 2)J&C PINSKY LLC / 7 MONTPELLIER NEWPORT BEACH,CA 92660 / COMPANY/ REAL ESTATE / LEASE OF REAL ESTATE PROPERTY / OTHER / PART OWNER / START DATE 1/1/2013

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1997-05-19
S65 Uniform Investment Adviser Law Examination 1997-05-19
  • S63 Uniform Securities Agent State Law Examination
    1997-05-19
  • S65 Uniform Investment Adviser Law Examination
    1997-05-19
Other Names
  • Barry L Pinsky
  • Barry Lewis Pinskey

View on SEC IAPD

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