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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 2016-10-17
FL RA APPROVED 2008-12-24
  • TX RA
    APPROVED_RES
    Since 2016-10-17
  • FL RA
    APPROVED
    Since 2008-12-24

Branch Locations

1819 Main Street Suite 900, Sarasota, FL 34236 • 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 Sarasota FL 12/2008 Present
Previous Registrations
  • 2007-04-02 → 2008-12-22
    Morgan Stanley & Co. Llc
    Sarasota, FL
  • 2004-08-10 → 2007-04-02
    Morgan Stanley Dw Inc.
    Punta Gorda, FL
    Sarasota, FL
    Punta Gorda, FL
  • 2003-01-23 → 2004-08-05
    A. G. Edwards & Sons, Inc.
    Punta Gorda, FL
Other Businesses

1. Certified Financial Planner Board of Directors, The mission of CFP Board of Standards, is to credential competent and ethical financial planners, uphold CFP® certification as the recognized standard, advance the financial planning profession and to expand CFP® professional diversity for the benefit of the public, Member of Board of directors, The Board of Directors is the governing authority for CFP Board Center for Financial Planning and the Board of Directors and sole voting members of CFP Board of Standards, start date-1/1/2024, Washington DC United States-20005. David Begala and Jodi Begala, Vacation/rental property, Proprietor / owner, I am the owner of the property. I will potentially collect rental income., start date-4/15/2024, snowmass village colorado United States.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-01-16
  • S66 Uniform Combined State Law Examination
    2003-01-16
Other Names
  • David Robert Begala
  • David R. Begala
  • David R. R. Begala

View on SEC IAPD

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