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Narayan S Pallavur

Ubs Financial Services Inc.

Westlake Village, CA

Agoura Hills, CA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NV RA APPROVED 2024-06-13
CA RA APPROVED 2023-10-12
TX RA APPROVED 2023-10-12
  • NV RA
    APPROVED
    Since 2024-06-13
  • CA RA
    APPROVED
    Since 2023-10-12
  • TX RA
    APPROVED
    Since 2023-10-12

Branch Locations

3011 Townsgate Road Suite 300, Westlake Village, CA 91361 • United States

Agoura Hills, 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Encino CA 06/2013 10/2023
Bank Of America, N.A. Encino CA 12/2013 10/2023
Ubs Financial Services Westlake Village CA 10/2023 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-09-20
  • S66 Uniform Combined State Law Examination
    2013-09-20
Other Names
  • Narayan Sitharaman Pallavur

View on SEC IAPD

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Other Offices

MANCHESTER FINANCIAL INC · WESTLAKE VILLAGE, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · WESTLAKE VILLAGE, CA
EAGLE STRATEGIES LLC · WESTLAKE VILLAGE, CA
RKS MANAGEMENT, INC. · WESTLAKE VILLAGE, CA
MERCER GLOBAL ADVISORS INC. · Westlake Village, CA
LPL FINANCIAL LLC · WESTLAKE VILLAGE, CA
MML INVESTORS SERVICES, LLC · WESTLAKE VILLAGE, CA
EDWARD JONES · Westlake Village, CA

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