Stephen Douglas Lucero

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2017-09-22
CA	RA	APPROVED	2000-01-19

TX RA
APPROVED_RES

Since 2017-09-22
CA RA
APPROVED

Since 2000-01-19

Branch Locations

50 West San Fernando Street 8Th Floor*, San Jose, CA 95113 • United States

355 Santana Row Suite 2050, San Jose, CA 95128 • United States

San Jose, 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

Organization	City	State	From	To
Ubs Financial Services Inc.	San Jose	CA	08/1999	Present

08/1999 → Present

Ubs Financial Services Inc.

San Jose, CA

Other Businesses

Camp Kesem / 500 El Camino Real Santa Clara,CA 95053 / Foundation/ Education / Helping children with parents that are terminally ill. / Member of Board of Directors / / Advisor to the non profit organization / Start Date 7/6/2015

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-12-29
S63	Uniform Securities Agent State Law Examination	1990-12-13

S65 Uniform Investment Adviser Law Examination

1999-12-29
S63 Uniform Securities Agent State Law Examination

1990-12-13

Other Names

Steve Lucero
Stephen D Lucero

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Other Businesses

Exams

Other Names

Other Firms

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