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Barbara Ann Fain

Ubs Financial Services Inc.

Roseville, CA

Roseville, 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 2009-04-02
  • CA RA
    APPROVED
    Since 2009-04-02

Branch Locations

3001 Douglas Blvd, Roseville, CA 95661 • United States

Roseville, 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
Randy Fain Pool Construction Roseville CA 02/2006 03/2025
Ubs Financial Services Inc. Sacramento CA 06/2015 06/2021
Ubs Financial Services Inc. Roseville CA 06/2021 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-03-31
  • S66 Uniform Combined State Law Examination
    2009-03-31
Other Names
  • Barbara Fain
  • Barbara Ann Cox

View on SEC IAPD

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Other Offices

DCA FAMILY OFFICE, LLC · ROSEVILLE, CA
DCA MANAGEMENT COMPANY, INC. · ROSEVILLE, CA
MUTUAL ADVISORS, LLC · Roseville, CA
DCA FAMILY OFFICE, LLC · Roseville, CA
COMMONWEALTH FINANCIAL NETWORK · Roseville, CA
EDWARD JONES · ROSEVILLE, CA
SAFEGUARD INVESTMENT ADVISORY GROUP, LLC · Roseville, CA
MERCER GLOBAL ADVISORS INC. · ROSEVILLE, CA

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