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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-09-30
TX RA APPROVED 2024-09-27
  • CA RA
    APPROVED
    Since 2024-09-30
  • TX RA
    APPROVED
    Since 2024-09-27

Branch Locations

3390 University Avenue, Riverside, CA 92501 • 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 Smith Barney Riverside CA 03/2012 09/2024
Morgan Stanley Private Bank, National Association New York NY 01/2015 09/2024
Ubs Financial Services, Inc. Riverside CA 09/2024 Present
Morgan Stanley Private Bank, N.A New York NY 01/2015 Present
  • 03/2012 → 09/2024
    Morgan Stanley Smith Barney
    Riverside, CA
  • 01/2015 → 09/2024
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 09/2024 → Present
    Riverside, CA
  • 01/2015 → Present
    Morgan Stanley Private Bank, N.A
    New York, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-12-09
  • S66 Uniform Combined State Law Examination
    2005-12-09

View on SEC IAPD

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