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Sylvia L. Guzman

Ubs Financial Services Inc.

Houston, TX

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 1998-09-03
  • TX RA
    APPROVED
    Since 1998-09-03

Branch Locations

4400 Post Oak Parkway 17Th Floor, Houston, TX 77027 • 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. Houston TX 08/1998 Present
Other Businesses

SIMPLY FIT / 2444 SOUTH MAIN STAFFORD,TEXAS 77477 / ZUMBA INSTRUCTOR/START DATE5/12/2015

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-09-30
S63 Uniform Securities Agent State Law Examination 1996-01-09
  • S65 Uniform Investment Adviser Law Examination
    2016-09-30
  • S63 Uniform Securities Agent State Law Examination
    1996-01-09
Other Names
  • Sylvia Lee Guzman
  • Sylvia L. Marcha
  • Sylvia Lee Marcha

View on SEC IAPD

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TSA WEALTH MANAGEMENT · HOUSTON, TX
PEREA CAPITAL · HOUSTON, TX
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AMERIPRISE FINANCIAL SERVICES, LLC · Houston, TX
LPL FINANCIAL LLC · HOUSTON, TX
MARINER INDEPENDENT · Houston, TX

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