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John R. R Martinez

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
TX RA APPROVED 2009-01-22
  • TX RA
    APPROVED
    Since 2009-01-22

Branch Locations

4400 Post Oak Parkway 17Th Floor, 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 Financial Services Inc Houston TX 01/2009 Present
Previous Registrations
  • 2007-04-02 → 2009-01-26
    Morgan Stanley & Co. Llc
    Houston, TX
  • 2002-10-14 → 2007-04-02
    Morgan Stanley Dw Inc.
    Houston, TX
    Houston, TX
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-09-27
S63 Uniform Securities Agent State Law Examination 2002-09-20
  • S65 Uniform Investment Adviser Law Examination
    2002-09-27
  • S63 Uniform Securities Agent State Law Examination
    2002-09-20
Other Names
  • John R Martinez

View on SEC IAPD

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