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Juan Carlos Giron Vazquez

Ubs Financial Services Inc.

Houston, TX

Houston, TX

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2010-01-01
TX RA APPROVED 2010-01-01
  • CA RA
    APPROVED
    Since 2010-01-01
  • TX RA
    APPROVED
    Since 2010-01-01

Branch Locations

4400 Post Oak Parkway Suite 1800, Houston, TX 77027 • United States

Houston, TX • 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 International Inc. Los Angeles CA 05/2004 Present
Ubs Financial Services Inc. Houston TX 01/2010 Present
Previous Registrations
  • 2004-05-14 → 2010-01-01
    Ubs International Inc.
    Los Angeles, CA
    Los Angeles, CA
    Houston, TX
  • 2003-10-14 → 2004-05-24
    Rbc Capital Markets, Llc
    Tucson, AZ
  • 2003-09-15 → 2003-10-13
    Banc Of America Investment Services, Inc.
    Tucson, AZ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-12-18
S63 Uniform Securities Agent State Law Examination 1998-11-17
  • S66 Uniform Combined State Law Examination
    2002-12-18
  • S63 Uniform Securities Agent State Law Examination
    1998-11-17
Other Names
  • Juan Carlos Giron

View on SEC IAPD

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Other Offices

BRIDGE CAPITAL ADVISORS · HOUSTON, TX
TSA WEALTH MANAGEMENT · HOUSTON, TX
PEREA CAPITAL · HOUSTON, TX
TRI-STAR ADVISORS, INC. · HOUSTON, TX
HORNOR, TOWNSEND & KENT, LLC · Houston, TX
AMERIPRISE FINANCIAL SERVICES, LLC · Houston, TX
LPL FINANCIAL LLC · HOUSTON, TX
MARINER INDEPENDENT · Houston, TX

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