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Ricardo Mendez Gutierrez

Ubs Financial Services Inc.

San Diego, CA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2024-04-04
TX RA APPROVED 2019-08-12
FL RA APPROVED 2019-04-02
  • NY RA
    APPROVED
    Since 2024-04-04
  • TX RA
    APPROVED
    Since 2019-08-12
  • FL RA
    APPROVED
    Since 2019-04-02

Branch Locations

600 West Broadway Suite 2800, San Diego, CA 92101 • 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
Banco Jpmorgan Sa De Cv Mexico City 07/2001 04/2018
Ubs Asesores Mexico Sa De Cv Mexico City 04/2018 09/2018
Ubs Financial Services Miami FL 09/2018 Present
  • 07/2001 → 04/2018
    Banco Jpmorgan Sa De Cv
    Mexico City
  • 04/2018 → 09/2018
    Ubs Asesores Mexico Sa De Cv
    Mexico City
  • 09/2018 → Present
    Ubs Financial Services
    Miami, FL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-04-01
  • S66 Uniform Combined State Law Examination
    2019-04-01
Other Names
  • Ricardo Gutierrez Mendez
  • Ricardo Mendez

View on SEC IAPD

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Other Offices

CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
RBC CAPITAL MARKETS, LLC · SAN DIEGO, CA
CETERA INVESTMENT MANAGEMENT LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA

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