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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-05-10
CA RA APPROVED 2021-09-10
  • TX RA
    APPROVED_RES
    Since 2022-05-10
  • CA RA
    APPROVED
    Since 2021-09-10

Branch Locations

2000 Avenue Of The Stars 12Th Floor South, Los Angeles, CA 90067 • United States

Marina Del Rey, 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
Deutsche Bank Securities Inc Los Angeles CA 03/2016 09/2021
Ubs Financial Services Los Angeles CA 09/2021 Present
Previous Registrations
  • 2006-05-03 → 2021-10-05
    New York, NY
    Los Angeles, CA
    Los Angeles, CA
    San Francisco, CA
    Los Angeles, CA
  • 2005-02-10 → 2006-04-21
    Banc Of America Investment Services, Inc.
    Los Angeles, CA
    Los Angeles, CA
Other Businesses

GEN NEXT, 4100 MACARTHUR BLVD, SUITE 325, NEWPORT BEACH, CA 92660. REGIONAL EXECUTIVE COMMITTEE MEMBER, DUTIES: STRATEGIC PLANNING, MEMBERSHIP, EVENT COORDINATING, NOT INVESTMENT RELATED, NOT COMPENSATED. APPROX 1 HR/WEEK OUTSIDE OF BUSINESS HRS.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-02-09
  • S66 Uniform Combined State Law Examination
    2005-02-09

View on SEC IAPD

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