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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-08-23
CA RA APPROVED 2019-09-16
  • TX RA
    APPROVED
    Since 2021-08-23
  • CA RA
    APPROVED
    Since 2019-09-16

Branch Locations

Larkspur, CA • United States

555 California St 34Th, 36Th & 46Th Floors, San Francisco, CA 94104 • United States

555 California Street 32Nd Floor/ Suite 3200, San Francisco, CA 94104 • United States

San Francisco, CA • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
J.P. Morgan Securities Inc San Francisco CA 02/2010 05/2019
Jpmorgan Chase Bank San Francisco CA 01/2010 05/2019
Ubs Financial Services Inc. San Francisco CA 08/2019 Present
  • 02/2010 → 05/2019
    J.P. Morgan Securities Inc
    San Francisco, CA
  • 01/2010 → 05/2019
    Jpmorgan Chase Bank
    San Francisco, CA
  • 08/2019 → Present
    San Francisco, CA
Other Businesses

California Labs, Inc. aka - www.joinloop.com / 1540 Market Street, Suite 100 San Francisco, CA 94102 / Company/ Information Technology / Loop is a family communication device for the home that allows you to seamlessly share video, photos, and video chat. / Advisor or advisory group member if advice given may influence an officer/board / Still to be defined as advisor role is up for board approval but for the most part will hold normal duties of tech company advisor which is to be a strategic sounding board and help with networking and partnership opportunities. Time requirement is minimal, maybe a few conversations each year outside of my normal UBS business hours. Expected approval from company to be granted around/by Sept 1, 2019 but could be sooner or the following week. Listing Sept 1, 2019 for now as Loop board hasn't prioritized approving my advisor role the past few months and is trying to wrap it up this week. / Start Date 9/1/2019. 2) 1392 McAllister Street,,CAUnited States,a condo in san francisco owned by me and my wifeReal Estate,rental condo,Proprietor / ownermy wife and i own this condo and will act as landlord and perform normal landlord duties including assisting with maintenance requests and/or finding specialists to assist with plumbing, electrical, etc.,Start date -12/8/2025

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-09-16
S63 Uniform Securities Agent State Law Examination 2010-04-20
S66 Uniform Combined State Law Examination 2002-12-11
  • S65 Uniform Investment Adviser Law Examination
    2019-09-16
  • S63 Uniform Securities Agent State Law Examination
    2010-04-20
  • S66 Uniform Combined State Law Examination
    2002-12-11
Other Names
  • Eaven Horter
  • Eavenson S Horter

View on SEC IAPD

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