Steven Westerman

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2009-04-06
CA	RA	APPROVED	2009-01-16

TX RA
APPROVED_RES

Since 2009-04-06
CA RA
APPROVED

Since 2009-01-16

Branch Locations

2000 Avenue Of The Stars 12Th Floor South, Los Angeles, CA 90067 • 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

Organization	City	State	From	To
Ubs Financial Services Inc	Los Angeles	CA	01/2009	Present

01/2009 → Present

Ubs Financial Services Inc

Los Angeles, CA

Previous Registrations

2005-02-07 → 2009-02-10

Credit Suisse Securities (Usa) Llc

Los Angeles, CA

Los Angeles, CA

Other Businesses

Hillel Hebrew Academy / United States / 9120 W Olympic Blvd, Beverly Hills, CA 90212 / Beverly Hills / CA / United States / 90212 / / No / Charity / / Education / / religious non-profit day school / Active / Member of Board of directors / / volunteer board member to help families participate in school activities and help promote the school to help raise funds for the scholarship fund. also help the school determine appropriate asset allocation for their endowment. their assets are held with a donor advised fund at the jewish community foundation in new York. / 20 / No / No / No / No / Start Date 11/10/2011 / / No / / No / / No / No No / beverly hills, ca / No / / Yes / / care deeply about jewish institutions and jewish education and my kids go there / No 2) Bounce Athletics Corp/ Category - Company/ Principal business Activity- Retail and apparel company/ Role - Member of Board of directors/ Duty- Just general advising for my best friend who has never started a company from scratch and he wanted me to help him walk/talk through whatever things come up along the way. Since I know him better than anyone else, he wanted me to be a part of the board. His co-founder is also putting one of his close friends on the board, so he wanted me to be there too for him. Another set of eyes/ears as they launch their business./ Comp - No 3) Name of business: Ten Toes Down./ Address: 1129 Empire RoadAtlanta GA United States 30329./ Investment Related: No./ Nature: Retail and apparel company./ Role: Member of Board of directors./ Duty: Just general advising for my best friend who has never started a company from scratch and he wanted me to help him walk/talk through whatever things come up along the way. Since I know him better than anyone else, he wanted me to be a part of the board. His co-founder is also putting one of his close friends on the board, so he wanted me to be there too for him. Another set of eyes/ears as they launch their business./ Start Date: 10/12/2020./ Time Required: N/A.