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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-11-15
  • CA RA
    APPROVED
    Since 2024-11-15

Branch Locations

2000 Avenue Of The Stars 12Th Floor South, Los Angeles, CA 90067 • 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
The Vanguard Group, Inc. Malvern PA 05/2020 06/2021
Drexel University Philadelphia PA 09/2014 12/2019
Suraya Philadelphia PA 09/2019 12/2019
Formally Thomson Reuters (Presently Clarivate Analytics) Philadelphia PA 09/2017 04/2018
The Vanguard Group, Inc. Malvern PA 01/2020 05/2020
Ubs Financial Services Inc New York NY 07/2021 08/2023
Sabbatical New York NY 08/2023 11/2024
Ubs Financial Services Inc Los Angeles CA 11/2024 Present
  • 05/2020 → 06/2021
    The Vanguard Group, Inc.
    Malvern, PA
  • 09/2014 → 12/2019
    Drexel University
    Philadelphia, PA
  • 09/2019 → 12/2019
    Suraya
    Philadelphia, PA
  • 09/2017 → 04/2018
    Formally Thomson Reuters (Presently Clarivate Analytics)
    Philadelphia, PA
  • 01/2020 → 05/2020
    The Vanguard Group, Inc.
    Malvern, PA
  • 07/2021 → 08/2023
    New York, NY
  • 08/2023 → 11/2024
    Sabbatical
    New York, NY
  • 11/2024 → Present
    Los Angeles, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-10-03
S63 Uniform Securities Agent State Law Examination 2020-11-12
  • S66 Uniform Combined State Law Examination
    2022-10-03
  • S63 Uniform Securities Agent State Law Examination
    2020-11-12
Other Names
  • Owen Fessick
  • Owen Fessick

View on SEC IAPD

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