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Alexis Zona

Ubs Financial Services Inc.

Dallas, TX

Stamford, CT

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2023-03-15
TX RA APPROVED_RES 2023-03-13
  • CT RA
    APPROVED
    Since 2023-03-15
  • TX RA
    APPROVED_RES
    Since 2023-03-13

Branch Locations

100 Crescent Court Suite 400, Dallas, TX 75201 • United States

600 Washington Blvd 9Th Floor, Stamford, CT 06901 • 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
Ef Education First Hangzhou 11/2017 02/2018
Unemployed Milford CT 03/2018 04/2018
Unemployed Milford CT 06/2016 10/2017
Axa Advisors, Llc New York NY 05/2018 09/2019
Jpmorgan Chase Bank N.A. Cos Cob CT 10/2019 07/2021
Jpmorgan Securities Llc Cos Cob CT 10/2019 07/2021
Axa Advisors Stamford CT 12/2018 08/2019
Mololamken Llp New York NY 05/2018 08/2018
Unemployed Milford CT 09/2018 09/2018
Dalmore Group Llc New York NY 11/2021 06/2022
Unemployed New York NY 08/2021 10/2021
Ubs Financial Services Stamford CT 06/2022 Present
  • 11/2017 → 02/2018
    Ef Education First
    Hangzhou
  • 03/2018 → 04/2018
    Unemployed
    Milford, CT
  • 06/2016 → 10/2017
    Unemployed
    Milford, CT
  • 05/2018 → 09/2019
    Axa Advisors, Llc
    New York, NY
  • 10/2019 → 07/2021
    Jpmorgan Chase Bank N.A.
    Cos Cob, CT
  • 10/2019 → 07/2021
    Jpmorgan Securities Llc
    Cos Cob, CT
  • 12/2018 → 08/2019
    Axa Advisors
    Stamford, CT
  • 05/2018 → 08/2018
    Mololamken Llp
    New York, NY
  • 09/2018 → 09/2018
    Unemployed
    Milford, CT
  • 11/2021 → 06/2022
    Dalmore Group Llc
    New York, NY
  • 08/2021 → 10/2021
    Unemployed
    New York, NY
  • 06/2022 → Present
    Ubs Financial Services
    Stamford, CT
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-02-26
  • S66 Uniform Combined State Law Examination
    2019-02-26

View on SEC IAPD

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