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Royce M. Bergman

Ubs Financial Services Inc.

Los Angeles, CA

Los Angeles, CA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2014-03-14
TX RA APPROVED_RES 2010-01-05
CA RA APPROVED 2007-11-08
  • PA RA
    APPROVED
    Since 2014-03-14
  • TX RA
    APPROVED_RES
    Since 2010-01-05
  • CA RA
    APPROVED
    Since 2007-11-08

Branch Locations

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

Los Angeles, 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
Ubs Financial Services Inc. Los Angeles CA 08/2007 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-11-07
  • S66 Uniform Combined State Law Examination
    2007-11-07
Other Names
  • Royce Bergman
  • Royce Matthew Bergman

View on SEC IAPD

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