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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2015-08-26
TX RA APPROVED 2015-08-26
  • CA RA
    APPROVED
    Since 2015-08-26
  • TX RA
    APPROVED
    Since 2015-08-26

Branch Locations

888 San Clemente Drive, Newport Beach, CA 92660 • United States

Laguna Niguel, 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. Newport Beach CA 08/2015 Present
Previous Registrations
  • 2007-03-15 → 2015-09-01
    Laguna Beach, CA
    Newport Beach, CA
  • 2007-02-28 → 2007-03-15
    Crowell, Weedon & Co.
    Newport Beach, CA
    Newport Beach, CA
Other Businesses

1) Wesley Sutton/ investment related?: yes/ 3322 Calle La Veta, San Clemente, CA, 92672/ Landlord/ start date: 6/11/2021 2) El Niguel Country Club, Laguna Niguel CAUnited States-92677, Country Club - Golf, Sport & Leisure Facilities, Member of Board of directors, Yes, as member of the committee, Start date-7/1/2023. 3) JBWS Construction, Residential construction, Proprietor / owner, Co-owner of residential construction company. Estimated monthly time spent 5-10 hours, start date-5/31/2021, Laguna NiguelCA United States-92677.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-10-10
  • S66 Uniform Combined State Law Examination
    2005-10-10

View on SEC IAPD

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