Lori A Farkas

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	1993-09-01

TX RA
APPROVED

Since 1993-09-01

Branch Locations

Austin, TX • United States

401 W 4Th Street Suite 3100, Austin, TX 78701 • 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

Organization	City	State	From	To
University Of Houston	Houston	TX	08/1988	Present
Paine Webber Inc.	Houston	TX	01/1990	Present
Ubs Financial Services Inc.	Austin	TX	01/1990	Present

08/1988 → Present

University Of Houston

Houston, TX
01/1990 → Present

Paine Webber Inc.

Houston, TX
01/1990 → Present

Ubs Financial Services Inc.

Austin, TX

Other Businesses

SECOND TO NONE INC.; 303 Detroit St, Suite 1, Ann Arbor, MI 48104; a full-service Customer Experience research and insights firm; mystery shopping at retail stores and restaurants; 5/10/2018 // TRENDSOURCE; 4891 Pacific Hwy Ste 200, San Diego, CA 92110; mystery shopping; mystery shopper; 10/3/2011; Business hours per month: 0 // BEST MARK; 5605 Green Circle Dr, Suite #200, Minnetonka, MN 55343-9602; mystery shopping; mystery shopper; 2/1/2012; Business hours per month: 3

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2003-06-17
S63	Uniform Securities Agent State Law Examination	1993-08-27

S66 Uniform Combined State Law Examination

2003-06-17
S63 Uniform Securities Agent State Law Examination

1993-08-27

Other Names

Lori Ann Mroczka

View on SEC IAPD