Howard Lyle Abrams

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2003-04-07
CA	RA	APPROVED	2003-03-10

TX RA
APPROVED_RES

Since 2003-04-07
CA RA
APPROVED

Since 2003-03-10

Branch Locations

15260 Ventura Boulevard Suite 1800, Sherman Oaks, CA 91403 • United States

Hidden Hills, 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 No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc.	Encino	CA	03/2003	Present

03/2003 → Present

Ubs Financial Services Inc.

Encino, CA

Previous Registrations

2003-01-03 → 2003-03-11

Oppenheimer & Co. Inc.

Los Angeles, CA
1997-08-15 → 2003-01-03

Cibc World Markets Corp.

Los Angeles, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-10-30
S63	Uniform Securities Agent State Law Examination	1991-10-03

S65 Uniform Investment Adviser Law Examination

1996-10-30
S63 Uniform Securities Agent State Law Examination

1991-10-03

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

Other Investors

Other Offices

Reviews