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Jolie Thai

Ubs Financial Services Inc.

Pasadena, CA

Rowland Heights, 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 2014-05-31
  • CA RA
    APPROVED
    Since 2014-05-31

Branch Locations

251 South Lake Avenue 10Th Floor, Pasadena, CA 91101 • United States

Rowland Heights, 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 Financial Services Inc Pasadena CA 12/2013 Present
Previous Registrations
  • 2004-04-19 → 2008-03-05
    Banc Of America Investment Services, Inc.
    Los Angeles, CA
    Los Angeles, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-05-31
  • S66 Uniform Combined State Law Examination
    2014-05-31
Other Names
  • Jolie Ninh Hue Huynh

View on SEC IAPD

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CMR CAPITAL MANAGEMENT, LLC · PASADENA, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PASADENA, CA
STRATEGY ASSET MANAGERS L.L.C. · PASADENA, CA
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WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · PASADENA, CA
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