Timothy Andrew Oates

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
SC	RA	APPROVED	2025-04-03
CO	RA	APPROVED	2023-08-31
TX	RA	APPROVED	2004-11-23

SC RA
APPROVED

Since 2025-04-03
CO RA
APPROVED

Since 2023-08-31
TX RA
APPROVED

Since 2004-11-23

Branch Locations

Awendaw, SC • United States

401 W 4Th Street Suite 3100, Austin, TX 78701 • United States

Austin, 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

Organization	City	State	From	To
Ubs Financial Services Inc.	Austin	TX	11/2004	Present

11/2004 → Present

Ubs Financial Services Inc.

Austin, TX

Previous Registrations

2003-01-23 → 2004-11-09

The Penn Investment Group Inc.

Austin, TX

Other Businesses

1) Property on Old Rosebud Trail, Awendaw South Carolina United States-29429, Personal real estate, Real Estate, I recently purchased this property and am considering it as a rental property and seeking permission to rent this home, Proprietor / owner, Working with property management company to set rental calendar, rental rates and reconcile statements, start date-11/15/2024

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2003-07-08
S65	Uniform Investment Adviser Law Examination	2003-01-22

S63 Uniform Securities Agent State Law Examination

2003-07-08
S65 Uniform Investment Adviser Law Examination

2003-01-22

Other Names

Tim A Oates

View on SEC IAPD