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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2016-03-08
  • WA RA
    APPROVED
    Since 2016-03-08

Branch Locations

925 Fourth Avenue 31St & 32Nd Floor, Seattle, WA 98104 • United States

Seattle, WA • 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 Seattle WA 02/2016 Present
Previous Registrations
  • 2011-01-04 → 2015-11-18
    Seattle, WA
  • 2009-05-02 → 2010-07-13
    Chase Investment Services Corp.
    Seattle, WA
    Burien, WA
    Burien, WA
    Des Moines, WA
    Edmonds, WA
  • 2008-06-06 → 2009-05-02
    Wamu Investments, Inc.
    Seattle, WA
    Lynnwood, WA
    Seattle, WA
    Bellevue, WA
    Lynnwood, WA
Other Businesses

1) Sea Ya Diving, LLC / 10239 1st Ave S Seattle,WA 98168 / Other/ Sport & Leisure Facilities / Dive boat charter / Partner / / Administrative duties of running the charter / Start Date Limited Liability Company (LLC) 7/12/16 /

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-06-04
S63 Uniform Securities Agent State Law Examination 2005-10-03
  • S65 Uniform Investment Adviser Law Examination
    2008-06-04
  • S63 Uniform Securities Agent State Law Examination
    2005-10-03
Other Names
  • Karen Irene Muyco
  • Karen Irene Oliver

View on SEC IAPD

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