Tricia Kristin Kramer

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2014-11-18
CA	RA	APPROVED	2014-11-17

TX RA
APPROVED_RES

Since 2014-11-18
CA RA
APPROVED

Since 2014-11-17

Branch Locations

1255 Treat Blvd Suite 1000, Walnut Creek, CA 94596 • United States

555 California Street 32Nd Floor/ Suite 3200, San Francisco, CA 94104 • United States

San Mateo, 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

Organization	City	State	From	To
Ubs Financial Services Inc	Walnut Creek	CA	11/2014	Present

11/2014 → Present

Ubs Financial Services Inc

Walnut Creek, CA

Previous Registrations

2002-05-10 → 2014-11-18

Merrill Lynch, Pierce, Fenner & Smith Incorporated

San Francisco, CA

San Francisco, CA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2002-11-04
S63	Uniform Securities Agent State Law Examination	1992-01-03

S66 Uniform Combined State Law Examination

2002-11-04
S63 Uniform Securities Agent State Law Examination

1992-01-03

Other Names

Tricia Kramer

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews