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Sarin Scott Puri

Ubs Financial Services Inc.

Los Angeles, 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 2019-11-21
  • CA RA
    APPROVED
    Since 2019-11-21

Branch Locations

2000 Avenue Of The Stars 12Th Floor South, Los Angeles, CA 90067 • 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
Axa Advisors, Llc San Francisco CA 08/2016 11/2019
Ubs Financial Services, Inc. Los Angeles CA 11/2019 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-09-30
  • S66 Uniform Combined State Law Examination
    2016-09-30

View on SEC IAPD

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