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Stephen Michael Lafata

Ubs Financial Services Inc.

La Jolla, CA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2016-06-16
CA RA APPROVED 2015-12-18
  • TX RA
    APPROVED
    Since 2016-06-16
  • CA RA
    APPROVED
    Since 2015-12-18

Branch Locations

1200 Prospect St Suite 100, La Jolla, CA 92038 • 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 La Jolla CA 12/2015 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-01-28
  • S66 Uniform Combined State Law Examination
    2016-01-28
Other Names
  • Stephen Lafata

View on SEC IAPD

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Other Offices

ALPHACORE CAPITAL LLC · LA JOLLA, CA
UBS FINANCIAL SERVICES INC. · LA JOLLA, CA
WEDBUSH SECURITIES INC. · LA JOLLA, CA
UBS FINANCIAL SERVICES INC. · LA JOLLA, CA
HAMILTON MANOR & ASSOCIATES · LA JOLLA, CA
TORREYANA CAPITAL · LA JOLLA, CA
INTEGRATED WEALTH CONCEPTS LLC · LA JOLLA, CA
MORGAN STANLEY · La Jolla, CA

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