Joshua William Cummins

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2024-07-10
TX	RA	APPROVED	2024-07-05

CA RA
APPROVED

Since 2024-07-10
TX RA
APPROVED

Since 2024-07-05

Branch Locations

3011 Townsgate Road Suite 300, Wetlake Village, CA 91361 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Westlake Village	CA	06/2009	07/2024
Bank Of America, N.A.	Westlake Village	CA	08/2009	07/2024
Ubs Financial Services Inc.	Westlake Village	CA	07/2024	Present

06/2009 → 07/2024

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Westlake Village, CA
08/2009 → 07/2024

Bank Of America, N.A.

Westlake Village, CA
07/2024 → Present

Ubs Financial Services Inc.

Westlake Village, CA

Previous Registrations

2009-06-12 → 2024-07-12

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Westlake Village, CA
2005-02-04 → 2009-07-01

Ubs Financial Services Inc.

Century City, CA

Los Angeles, CA
2003-01-17 → 2005-03-01

Credit Suisse Securities (Usa) Llc

Los Angeles, CA
2003-01-09 → 2003-01-17

Pershing Llc

Los Angeles, CA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	1999-11-13

S66 Uniform Combined State Law Examination

1999-11-13

Designations

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Previous Registrations

Exams

Designations

Other Firms

Other Investors

Other Offices

Reviews