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Ana Diaz

Ubs Financial Services Inc.

San Francisco, CA

San Francisco, CA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2015-03-16
FL RA APPROVED 2010-01-01
  • CA RA
    APPROVED
    Since 2015-03-16
  • FL RA
    APPROVED
    Since 2010-01-01

Branch Locations

555 California Street 33Rd Floor, San Francisco, CA 94104 • United States

San Francisco, CA • 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 Ag Miami FL 07/2005 Present
Ubs International Inc. Miami FL 07/2005 Present
Ubs Financial Services Inc. Weehawken NJ 01/2010 Present
  • 07/2005 → Present
    Ubs Ag
    Miami, FL
  • 07/2005 → Present
    Ubs International Inc.
    Miami, FL
  • 01/2010 → Present
    Ubs Financial Services Inc.
    Weehawken, NJ
Previous Registrations
  • 2005-08-30 → 2010-01-01
    Ubs International Inc.
    New York, NY
    Miami, FL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-07-19
  • S66 Uniform Combined State Law Examination
    2004-07-19

View on SEC IAPD

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