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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2014-08-21
  • CA RA
    APPROVED
    Since 2014-08-21

Branch Locations

251 South Lake Avenue 10Th Floor, Pasadena, CA 91101 • 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. Pasadena CA 12/2013 Present
Previous Registrations
  • 2003-01-02 → 2007-09-10
    Banc Of America Investment Services, Inc.
    Los Angeles, CA
    Los Angeles, CA
Other Businesses

1) Fulima Inc / El Monte,CA 91733 / No/ Privately Held / USD / No / No / / 3/9/09 /// 2) JESCD LLC / United States / 18330 Colima Road, Rowland Heights, CA 91748 / Company / Food, Beverages & Tobacco / Tea drink Store / Investor only / Partner / Receive Compensation?: YES / Investment in Company?: YES / Start Date 2/5/2020 /// 3) JESMAN LLC / United States /Los Angeles, CA 90020 / Company / Food, Beverages & Tobacco / Tea drink store / Investor only / Investment in Company?: YES / Start Date 5/1/2020 /// 4) JESPAN LLC/ investment related?:yes / United States /Los Angeles, CA 90020 / Company / Food, Beverages & Tobacco / Tea drink store /Partner/ Investor only / Start Date 3/1/2022 /// 5) JR Noodles Line Inc / Family restaurants / Family restaurant ownership /// 6)Cofuller LLC,CAUnited States91733NoPartnershipFood, Beverages & TobaccoHolding company of family-owned Japanese ramen restaurantPartnerNot involved in daily operations of the business. Only a partner with voting right on major business decisions.3, start Date-7/1/2025,Investment -33 7)Hinochi LLC,CAUnited States91748NoPartnershipFood, Beverages & TobaccoFamily-owned Japanese ramen restaurant,PartnerNot involved in daily operations of the business. Only a partner with voting right on major business decisions.Start date -7/1/2025,, Investment33

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-08-21
S63 Uniform Securities Agent State Law Examination 1998-12-16
  • S66 Uniform Combined State Law Examination
    2014-08-21
  • S63 Uniform Securities Agent State Law Examination
    1998-12-16
Other Names
  • Kent S Leung
  • Sai-Lim Leung

View on SEC IAPD

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