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Jean Marie Wollenberg

Ubs Financial Services Inc.

Sugar Land, TX

Sugar Land, 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 1997-08-28
  • TX RA
    APPROVED
    Since 1997-08-28

Branch Locations

15958 City Walk #240, Sugar Land, TX 77479 • United States

15958 City Walk #240, Sugar Land, TX 77479 • 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. Sugar Land TX 07/1992 Present
Other Businesses

1 VICE PRESIDENT/TREASURER-HANK ELECTRICAL SRVS, INC (FAMILY BUSINESS) 2) TREASURER-BRAYS VILLAGE HOME OWNER'S ASSOC.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-11-22
S63 Uniform Securities Agent State Law Examination 1997-08-27
  • S65 Uniform Investment Adviser Law Examination
    1999-11-22
  • S63 Uniform Securities Agent State Law Examination
    1997-08-27

View on SEC IAPD

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WESLEY OWEN BALES
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Other Offices

LPL FINANCIAL LLC · SUGAR LAND, TX
STATE FARM INVESTMENT MANAGEMENT CORP. · Sugar Land, TX
LPL FINANCIAL LLC · SUGAR LAND, TX
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SUGAR LAND, TX
WESLEY OWEN BALES INVESTMENT ADVISORY SERVICE · SUGAR LAND, TX
B.D. STERLING · SUGAR LAND, TX
LPL FINANCIAL LLC · SUGAR LAND, TX
SWEETWATER FINANCIAL ADVISORS, LLC · SUGAR LAND, TX

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