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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| 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 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Sacramento | CA | 06/2001 | Present |
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
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-11-15 |
| S63 | Uniform Securities Agent State Law Examination | 1997-09-25 |
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