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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2022-09-30
IL RA APPROVED 2022-09-30
TX RA APPROVED 2022-09-30
  • CA RA
    APPROVED
    Since 2022-09-30
  • IL RA
    APPROVED
    Since 2022-09-30
  • TX RA
    APPROVED
    Since 2022-09-30

Branch Locations

305 Lytton Avenue, Palo Alto, CA 94301 • United States

Los Altos 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
Morgan Stanley Menlo Park CA 06/2009 09/2022
Ubs Financial Services Menlo Park CA 09/2022 Present
  • 06/2009 → 09/2022
    Menlo Park, CA
  • 09/2022 → Present
    Ubs Financial Services
    Menlo Park, CA
Previous Registrations
Other Businesses

1) NAME OF OTHER BUSINESS: Somnet / INVESTMENT RELATED?: N / ADDRESS: 24740 Olive Tree Lane, Los Altos, CA / NATURE OF THE BUSINESS: Health Care & Pharmaceuticals/ POSITION: Partner/ DUTIES: Husband is a physician at Stanford hospital. This company, Somnet, was created for his consulting business. Admin duties, help husband with his consulting / START DATE: 1/8/2010/ HOURS DEVOTED TO BUSINESS: NA

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-03-28
  • S66 Uniform Combined State Law Examination
    2005-03-28

View on SEC IAPD

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