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Lisa Marie Moreno

Ubs Financial Services Inc.

San Diego, CA

Chula Vista, 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 2013-12-16
  • CA RA
    APPROVED
    Since 2013-12-16

Branch Locations

600 West Broadway Suite 2800, San Diego, CA 92101 • United States

Chula Vista, 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 Finnacial Services Inc. San Diego CA 12/2013 Present
  • 12/2013 → Present
    Ubs Finnacial Services Inc.
    San Diego, CA
Previous Registrations
  • 2009-06-01 → 2014-01-03
    Morgan Stanley
    San Diego, CA
    San Diego, CA
  • 2006-12-13 → 2009-06-01
    Citigroup Global Markets Inc.
    San Diego, CA
  • 2005-07-20 → 2006-12-14
    Banc Of America Investment Services, Inc.
    San Diego, CA
    San Diego, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-07-19
  • S66 Uniform Combined State Law Examination
    2005-07-19
Other Names
  • Lisa M. Garcia
  • Lisa Marie Garcia

View on SEC IAPD

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