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Jing Guo

Ubs Financial Services Inc.

San Francisco, CA

Novato, 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 2022-03-29
  • CA RA
    APPROVED
    Since 2022-03-29

Branch Locations

555 California Street 33Rd Floor, San Francisco, CA 94104 • United States

Novato, 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
Jpmorgan Chase Bank, N.A. San Anselmo CA 07/2021 12/2021
J.P. Morgan Securities Llc San Anselmo CA 07/2021 12/2021
Connect China Llc Novato CA 01/2015 Present
Rosewood Sandhill Hotel Menlo Park CA 02/2017 07/2017
Ubs Financial Services Inc San Francisco CA 02/2022 Present
  • 07/2021 → 12/2021
    Jpmorgan Chase Bank, N.A.
    San Anselmo, CA
  • 07/2021 → 12/2021
    J.P. Morgan Securities Llc
    San Anselmo, CA
  • 01/2015 → Present
    Connect China Llc
    Novato, CA
  • 02/2017 → 07/2017
    Rosewood Sandhill Hotel
    Menlo Park, CA
  • 02/2022 → Present
    Ubs Financial Services Inc
    San Francisco, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-03-28
S63 Uniform Securities Agent State Law Examination 2021-09-28
  • S66 Uniform Combined State Law Examination
    2022-03-28
  • S63 Uniform Securities Agent State Law Examination
    2021-09-28
Other Names
  • Sophia Guo

View on SEC IAPD

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Other Offices

FORT POINT CAPITAL PARTNERS LLC · SAN FRANCISCO, CA
DIVISAR CAPITAL MANAGEMENT, LLC · SAN FRANCISCO, CA
CHARLES SCHWAB & CO., INC. · San Francisco, CA
1SHARPE CAPITAL LLC · SAN FRANCISCO, CA
RBC SECURITIES, INC · SAN FRANCISCO, CA
STRATEGIC ADVISERS LLC · SAN FRANCISCO, CA
VALEAS CAPITAL PARTNERS · SAN FRANCISCO, CA
ZENTARA EXCHANGE LTD · SAN FRANCISCO, CA

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