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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2004-10-08 |
| CA | RA | APPROVED | 1997-07-08 |
Branch Locations
3030 Old Ranch Pkwy Suite 300, Seal Beach, CA 90740 • United States
Long Beach, CA • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Long Beach | CA | 06/1992 | Present |
Los Angeles Philanthropic Foundation, PO Box 411508, Los Angeles, CA 90041; I am one of 15 Directors of this 501(c)3 non-profit educational endowment. All investment decisions are made by an independent Finance Committee composed of highly successful businessmen, including a corporate lawyer, retired CFO of Fortune 500 Co., retired VP from CalFed Bank and a CPA; Vice President; Start date: 05/02/2006
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1992-09-22 |
| S65 | Uniform Investment Adviser Law Examination | 1992-09-22 |
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