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Thomas Flores

Ubs Financial Services Inc.

Westlake Village, CA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2020-11-25
  • CA RA
    APPROVED
    Since 2020-11-25

Branch Locations

3011 Townsgate Road Suite 300, Westlake Village, CA 91361 • 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
Ubs Financial Services Inc. Westlake Village CA 11/2019 Present
Omni La Costa Resort And Spa Carlsbad CA 04/2016 09/2016
Carlsbad High School Carslbad CA 01/2016 06/2017
Town And Country Resort San Diego CA 10/2016 05/2018
Islands Restaurant Sherman Oaks CA 06/2018 03/2020
San Diego State University San Diego CA 08/2014 05/2019
  • 11/2019 → Present
    Ubs Financial Services Inc.
    Westlake Village, CA
  • 04/2016 → 09/2016
    Omni La Costa Resort And Spa
    Carlsbad, CA
  • 01/2016 → 06/2017
    Carlsbad High School
    Carslbad, CA
  • 10/2016 → 05/2018
    Town And Country Resort
    San Diego, CA
  • 06/2018 → 03/2020
    Islands Restaurant
    Sherman Oaks, CA
  • 08/2014 → 05/2019
    San Diego State University
    San Diego, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-11-25
  • S66 Uniform Combined State Law Examination
    2020-11-25

View on SEC IAPD

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Other Offices

MANCHESTER FINANCIAL INC · WESTLAKE VILLAGE, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · WESTLAKE VILLAGE, CA
EAGLE STRATEGIES LLC · WESTLAKE VILLAGE, CA
RKS MANAGEMENT, INC. · WESTLAKE VILLAGE, CA
MERCER GLOBAL ADVISORS INC. · Westlake Village, CA
LPL FINANCIAL LLC · WESTLAKE VILLAGE, CA
MML INVESTORS SERVICES, LLC · WESTLAKE VILLAGE, CA
EDWARD JONES · Westlake Village, CA

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