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Noelle Ashley Oh

Ubs Financial Services Inc.

Santa Barbara, CA

Mission Viejo, 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 2014-01-17
TX RA APPROVED 2014-01-17
  • CA RA
    APPROVED
    Since 2014-01-17
  • TX RA
    APPROVED
    Since 2014-01-17

Branch Locations

222 E. Carrillo St., Suite 106, Santa Barbara, CA 93101 • United States

Mission Viejo, 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. Santa Barbara CA 01/2014 Present
Previous Registrations
Other Businesses

NOTARY PUBLIC; NOT INVESTMENT RELATED; SANTA BARBARA, CA; START DATE = 01/23/12; 6-8 HOURS PER MONTH DEVOTED; NONE DURING TRADING HOURS.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-08-01
  • S66 Uniform Combined State Law Examination
    2012-08-01
Designations

View on SEC IAPD

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Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SANTA BARBARA, CA
CERITY PARTNERS LLC · SANTA BARBARA, CA
CERITY PARTNERS LLC · SANTA BARBARA, CA
J.P. MORGAN SECURITIES LLC · SANTA BARBARA, CA
SAFEGUARD INVESTMENT ADVISORY GROUP, LLC · Santa Barbara, CA
KINGSWOOD WEALTH ADVISORS, LLC · Santa Barbara, CA
MORGAN STANLEY · Santa Barbara, CA
LPL FINANCIAL LLC · SANTA BARBARA, CA

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