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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2017-01-09 |
| CA | RA | APPROVED | 2010-01-01 |
Branch Locations
251 South Lake Avenue 10Th Floor, Pasadena, CA 91101 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Pasadena | CA | 01/2010 | Present |
1) Diane Hart, trustee of The Hart family 2012 revocable trust DTD 6/25/12/investment related?: yes/ Los Angeles, CA, 90042/ It's a rental and 100% manager by my domestic partner who we jointly owned./ I set up this revocable living trust to hold my assets/start date: 6/25/2012
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-12-23 |
| S63 | Uniform Securities Agent State Law Examination | 1998-05-21 |
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