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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2025-07-31
NV RA APPROVED 2025-06-25
PA RA APPROVED 2024-09-10
TX RA APPROVED_RES 2017-07-10
CA RA APPROVED 2001-07-18
  • WA RA
    APPROVED
    Since 2025-07-31
  • NV RA
    APPROVED
    Since 2025-06-25
  • PA RA
    APPROVED
    Since 2024-09-10
  • TX RA
    APPROVED_RES
    Since 2017-07-10
  • CA RA
    APPROVED
    Since 2001-07-18

Branch Locations

1455 First Street Suite 300, Napa, CA 94559 • 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 Sacramento CA 06/2001 Present
Other Businesses

musicians: Pamela and Daniel Thompson / 12 Willotta DriveFairfield / SolanoCAUnited States94534 / Food, Beverages & Tobacco / musicians: Pamela and Daniel Thompson / Various venues. My husband and I play music and sing in the tasting room at Mangels Vineyards. We have occasionally played music and sung at Back Road Vines. We are informally compensated with wine from the winery. We may consider playing a gig for compensation in the future. / Various venues. My husband and I play music and sing in the tasting room at Mangels Vineyards. We have occasionally played music and sung at Back Road Vines, at a wedding, etc. We sometimes are informally compensated with wine from the winery. We may consider playing a gig for compensation in the future. / My husband and I play music and sing in the tasting room. (Approx. 3-8 hours in a week.) / Start Date: 9/1/2018 2) NAME OF OTHER BUSINESS: Mangels Vineyards, possibly other tasting rooms (TBD) / INVESTMENT RELATED?: N / ADDRESS: 4529 Suisun Valley RdFairfieldCA/ NATURE OF THE BUSINESS: Wine Tasting Room / POSITION:/ DUTIES: Very infrequent/occasional pouring of wine at a wine tasting room./ START DATE: 2/12/2023 / HOURS DEVOTED TO BUSINESS: NA

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-11-15
S63 Uniform Securities Agent State Law Examination 1997-09-25
  • S65 Uniform Investment Adviser Law Examination
    1999-11-15
  • S63 Uniform Securities Agent State Law Examination
    1997-09-25
Designations
Other Names
  • Pamela Jo Buse

View on SEC IAPD

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