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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2016-08-18
TX RA APPROVED 2016-08-18
  • CA RA
    APPROVED
    Since 2016-08-18
  • TX RA
    APPROVED
    Since 2016-08-18

Branch Locations

888 San Clemente Drive, Newport Beach, CA 92660 • 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 Newport Beach CA 08/2016 Present
Previous Registrations
Other Businesses

1. JTWROS - T.L. S. and S L S, This is my primary residence where I rent a portion of it out to N.Y, Proprietor / owner, I collect a rent check from Nancy and maintain the residence for my personal use and her, start date-3/15/2017, Newport Beach CA United States-92661

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-06-30
  • S66 Uniform Combined State Law Examination
    2011-06-30
Other Names
  • Travis Lee Smith
  • Travis Smith

View on SEC IAPD

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