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Matthew Adam Bates

Ubs Financial Services Inc.

Riverside, CA

Riverside, CA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-02-06
CA RA APPROVED 2020-10-15
  • TX RA
    APPROVED_RES
    Since 2024-02-06
  • CA RA
    APPROVED
    Since 2020-10-15

Branch Locations

3390 University Avenue, Riverside, CA 92501 • United States

Riverside, CA • 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
Stater Bros. Markets Riverside CA 06/2015 09/2019
Ubs Financial Services Riverside CA 09/2019 Present
  • 06/2015 → 09/2019
    Stater Bros. Markets
    Riverside, CA
  • 09/2019 → Present
    Ubs Financial Services
    Riverside, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-10-15
  • S66 Uniform Combined State Law Examination
    2020-10-15
Other Names
  • Matthew Bates

View on SEC IAPD

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Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · RIVERSIDE, CA
CETERA INVESTMENT ADVISERS LLC · Riverside, CA
AMERIPRISE FINANCIAL SERVICES, LLC · RIVERSIDE, CA
EDWARD JONES · RIVERSIDE, CA
LPL FINANCIAL LLC · RIVERSIDE, CA
WELLS FARGO CLEARING SERVICES, LLC · RIVERSIDE, CA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Riverside, CA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · RIVERSIDE, CA

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