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Souvanna Sophabmixay

Ubs Financial Services Inc.

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 2017-08-24
TX RA APPROVED 2017-08-24
  • CA RA
    APPROVED
    Since 2017-08-24
  • TX RA
    APPROVED
    Since 2017-08-24

Branch Locations

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
Morgan Stanley Palo Alto CA 08/2013 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-10-29
  • S66 Uniform Combined State Law Examination
    2012-10-29
Other Names
  • Souvanna Sophabmixay

View on SEC IAPD

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Other Offices

FORT POINT CAPITAL PARTNERS LLC · SAN FRANCISCO, CA
DIVISAR CAPITAL MANAGEMENT, LLC · SAN FRANCISCO, CA
CHARLES SCHWAB & CO., INC. · San Francisco, CA
1SHARPE CAPITAL LLC · SAN FRANCISCO, CA
RBC SECURITIES, INC · SAN FRANCISCO, CA
STRATEGIC ADVISERS LLC · SAN FRANCISCO, CA
VALEAS CAPITAL PARTNERS · SAN FRANCISCO, CA
ZENTARA EXCHANGE LTD · SAN FRANCISCO, CA

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