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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2007-06-05
  • CA RA
    APPROVED
    Since 2007-06-05

Branch Locations

888 San Clemente Drive, Newport Beach, CA 92660 • United States

Santa Ana, 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 Los Angeles CA 01/2004 Present
Ubs Securities Llc Stamford CT 01/2006 Present
Other Businesses

BUSINESS NAME: BERKE ENTERPRISES, LTD. TYPE OF BUSINESS: REAL ESTATE HOLDING COMPANY. IS NOT INVESTMENT RELATED. ADDRESS: P.O. BOX 491638 LOS ANGELES, CA 90049. START DATE: 10/2002. NUMBER OF HOURS PER MONTH: APPROXIMATELY 10 HOURS PER MONTH. NUMBER OF HOURS DURING TRADING HOURS: 0. DUTIES: PROPERTY MANAGEMENT. FINANCIAL REPORTING DUTIES FOR MANAGED PROPERTIES. Marondi / 1922 Fairweather Rd Santa Ana, CA 92705 / United States / Other/ Real Estate / ownership and renting of 4 houses / Proprietor / owner / leasing activities, maintenance, finances, etc / Trust and sole proprietorship / Start Date 6/1/2002 Hawkins Family, ownership and renting of 4 houses and 1 duplex, Proprietor / owner, leasing activities, maintenance, finances, etc, start date-6/1/2002, Santa Ana ca United States-92705.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-12-11
S63 Uniform Securities Agent State Law Examination 2004-10-28
  • S66 Uniform Combined State Law Examination
    2006-12-11
  • S63 Uniform Securities Agent State Law Examination
    2004-10-28
Other Names
  • Thomas Hawkins

View on SEC IAPD

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