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Stephen Andres

Ubs Financial Services Inc.

Sonoma, CA

San Francisco, CA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2016-01-07
TX RA APPROVED 2016-01-07
  • CA RA
    APPROVED
    Since 2016-01-07
  • TX RA
    APPROVED
    Since 2016-01-07

Branch Locations

Sonoma, CA • United States

555 California Street 32Nd Floor/ Suite 3200, San Francisco, CA 94104 • 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 San Francisco CA 01/2016 Present
Previous Registrations
  • 2011-12-21 → 2016-02-02
    Credit Suisse Securities (Usa) Llc
    San Francisco, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-12-20
S63 Uniform Securities Agent State Law Examination 2007-09-17
  • S65 Uniform Investment Adviser Law Examination
    2011-12-20
  • S63 Uniform Securities Agent State Law Examination
    2007-09-17
Other Names
  • Steve Andres
  • Stephen F Andres

View on SEC IAPD

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