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John Hampton Hagy

Ubs Financial Services Inc.

Westlake Village, 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 2023-03-24
TX RA APPROVED 2023-03-24
  • CA RA
    APPROVED
    Since 2023-03-24
  • TX RA
    APPROVED
    Since 2023-03-24

Branch Locations

3011 Townsgate Road Suite 300, Westlake Village, CA 91361 • 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 Woodland Hills CA 08/2017 03/2023
School Thousand Oaks CA 01/2007 05/2017
Morgan Stanley Private Bank, National Association New York NY 10/2017 03/2023
Ubs Financial Services Westlake Village CA 03/2023 Present
  • 08/2017 → 03/2023
    Morgan Stanley
    Woodland Hills, CA
  • 01/2007 → 05/2017
    School
    Thousand Oaks, CA
  • 10/2017 → 03/2023
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 03/2023 → Present
    Ubs Financial Services
    Westlake Village, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-10-27
  • S66 Uniform Combined State Law Examination
    2017-10-27

View on SEC IAPD

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Other Offices

MANCHESTER FINANCIAL INC · WESTLAKE VILLAGE, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · WESTLAKE VILLAGE, CA
EAGLE STRATEGIES LLC · WESTLAKE VILLAGE, CA
RKS MANAGEMENT, INC. · WESTLAKE VILLAGE, CA
MERCER GLOBAL ADVISORS INC. · Westlake Village, CA
LPL FINANCIAL LLC · WESTLAKE VILLAGE, CA
MML INVESTORS SERVICES, LLC · WESTLAKE VILLAGE, CA
EDWARD JONES · Westlake Village, CA

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