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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2021-03-23
  • CA RA
    APPROVED
    Since 2021-03-23

Branch Locations

200 Clock Tower Place Suite C-100, Carmel, CA 93923 • United States

Pacific Grove, CA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Carmel CA 12/2018 Present
Cypress Coast Properties - The Club Carmel CA 08/2017 08/2018
Augustina Leathers Carmel CA 09/2013 08/2017
N/A N/A CA 09/2018 10/2018
Folktale Winery Carmel Valley CA 07/2017 12/2017
House Of Cardoon Carmel CA 06/2019 Present
Starbucks Carmel CA 11/2018 12/2018
California State University Monterey Bay Seaside CA 08/2013 12/2017
  • 12/2018 → Present
    Ubs Financial Services
    Carmel, CA
  • 08/2017 → 08/2018
    Cypress Coast Properties - The Club
    Carmel, CA
  • 09/2013 → 08/2017
    Augustina Leathers
    Carmel, CA
  • 09/2018 → 10/2018
    N/A
    N/A, CA
  • 07/2017 → 12/2017
    Folktale Winery
    Carmel Valley, CA
  • 06/2019 → Present
    House Of Cardoon
    Carmel, CA
  • 11/2018 → 12/2018
    Starbucks
    Carmel, CA
  • 08/2013 → 12/2017
    California State University Monterey Bay
    Seaside, CA
Other Businesses

1)House of Cardoon NOT investment-related Ocean Avenue & Mission Street, Plaza Suite 210, Carmel, CA 93923 Retail Boutique Part Time Retail Sales Associate 06/2019 About 18 hours a month 0 hours during securities trading hours I work about 3 Sundays a month at this boutique, assisting with selling home goods, shipping, cleaning, and watching the sales floor. This position was approved by UBS prior to starting. 2)Sail Monterey / Assisting in the office on weekends, booking sailing trips, answering phones, clerical duties. / 78 Old Fisherman's Wharf #1 Monterey, California 93940 / United States / Working in the office on weekends, booking sailing trips, answering phones, clerical duties. / Start Date 6/13/2020 3) Seamaid Glass/ investment related?: yes/ Pacific Grove, CA, 93950/Owner of small business/Make and sell handmade jewelry/ start date: 2/1/2022

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-03-22
  • S66 Uniform Combined State Law Examination
    2021-03-22
Other Names
  • Justina Marie Barfield

View on SEC IAPD

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