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Kathryn E Mogg

Ubs Financial Services Inc.

Weehawken, NJ

El Segundo, 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 2011-04-29
  • CA RA
    APPROVED
    Since 2011-04-29

Branch Locations

1200 Harbor Boulevard, Weehawken, NJ 07086 • UNITED STATES

2121 Rosecrans Avenue Suite 1300, El Segundo, CA 90245 • 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 Westlake Village CA 04/2011 Present
Previous Registrations
  • 2009-06-01 → 2011-05-05
    Morgan Stanley
    Santa Monica, CA
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Santa Monica, CA
  • 2005-10-19 → 2007-04-02
    Morgan Stanley Dw Inc.
    Santa Monica, CA
    Santa Monica, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-10-18
  • S66 Uniform Combined State Law Examination
    2005-10-18
Other Names
  • Kate Mogg

View on SEC IAPD

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