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Andrew Trung Le

Ubs Financial Services Inc.

Palo Alto, CA

Sunnyvale, CA

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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 2019-04-02
CA RA APPROVED 2008-12-01
  • TX RA
    APPROVED_RES
    Since 2019-04-02
  • CA RA
    APPROVED
    Since 2008-12-01

Branch Locations

305 Lytton Avenue, Palo Alto, CA 94301 • United States

Sunnyvale, CA • 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 Menlo Park CA 11/2008 Present
Previous Registrations
  • 2007-04-02 → 2008-12-01
    Morgan Stanley & Co. Llc
    Palo Alto, CA
  • 2001-02-20 → 2007-04-02
    Morgan Stanley Dw Inc.
    Palo Alto, CA
    Palo Alto, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1999-08-10
  • S66 Uniform Combined State Law Examination
    1999-08-10
Other Names
  • Trung Tran Le

View on SEC IAPD

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