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Kirk William Wendorf

Ubs Financial Services Inc.

Los Angeles, CA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2008-09-19
TX RA APPROVED 2008-09-19
  • CA RA
    APPROVED
    Since 2008-09-19
  • TX RA
    APPROVED
    Since 2008-09-19

Branch Locations

2000 Avenue Of The Stars 12Th Floor South, Los Angeles, CA 90067 • 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 Los Angeles CA 09/2008 Present
Previous Registrations
  • 2002-08-19 → 2008-09-24
    Lehman Brothers Inc.
    Los Angeles, CA
    New York, NY
    Los Angeles, CA
  • 2000-05-22 → 2002-08-20
    Morgan Stanley & Co. Llc
    Los Angeles, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-10-14
S63 Uniform Securities Agent State Law Examination 1992-03-06
  • S65 Uniform Investment Adviser Law Examination
    1999-10-14
  • S63 Uniform Securities Agent State Law Examination
    1992-03-06

View on SEC IAPD

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