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Imelda Patricia Renteria

Ubs Financial Services Inc.

Carmel, CA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2017-08-31
  • CA RA
    APPROVED
    Since 2017-08-31

Branch Locations

200 Clock Tower Place Suite C-100, Carmel, CA 93923 • 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
OrganizationCityStateFromTo
Ubs Financial Services Inc. San Diego CA 03/2015 Present
Previous Registrations
  • 2015-03-04 → 2017-03-21
    Ubs Financial Services Inc.
    San Diego, CA
  • 2015-01-16 → 2015-09-29
    The Retirement Group, Llc
    San Diego, CA
  • 2014-08-28 → 2014-11-12
    First Command Brokerage Services, Inc.
    San Diego, CA
  • 2011-01-03 → 2012-09-12
    Wells Fargo Clearing Services, Llc
    Birmingham, AL
    Dothan, AL
    Roseville, CA
    Charlotte, NC
  • 2002-01-29 → 2011-01-03
    Wells Fargo Investments, Llc
    Folsom, CA
    Oakland, CA
    Walnut Creek, CA
    Oakland, CA
    San Francisco, CA
    Sacramento, CA
    Roseville, CA
    Oakland, CA
    San Francisco, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-10-28
S63 Uniform Securities Agent State Law Examination 1998-07-28
  • S65 Uniform Investment Adviser Law Examination
    1999-10-28
  • S63 Uniform Securities Agent State Law Examination
    1998-07-28
Other Names
  • Imelda Patricia Mcgovern

View on SEC IAPD

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Other Offices

EDWARD JONES · CARMEL, CA
INTERLAKE CAPITAL MANAGEMENT, LLC · CARMEL, CA
CHARLES SCHWAB & CO., INC. · Carmel, CA
NEUMEIER POMA INVESTMENT COUNSEL LLC · CARMEL, CA
KILZER WEALTH MANAGEMENT · CARMEL, CA
TOPTURN CAPITAL, LLC · CARMEL, CA
CYPRESS PATH CAPITAL, LLC · CARMEL, CA
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