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Christopher D Scroggins

Ubs Financial Services Inc.

Walnut Creek, CA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2007-08-20
CA RA APPROVED 2006-08-12
  • TX RA
    APPROVED_RES
    Since 2007-08-20
  • CA RA
    APPROVED
    Since 2006-08-12

Branch Locations

1255 Treat Blvd Suite 1000, Walnut Creek, CA 94597 • United States

Disclosures

2 disclosure categories 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.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. San Francisco CA 08/2006 Present
Previous Registrations
  • 1997-09-16 → 2006-08-12
    Piper Sandler & Co.
    Minneapolis, MN
    San Francisco, CA
    San Francisco, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-03-31
S63 Uniform Securities Agent State Law Examination 1993-03-10
  • S65 Uniform Investment Adviser Law Examination
    1995-03-31
  • S63 Uniform Securities Agent State Law Examination
    1993-03-10
Other Names
  • Chris Scroggins
  • Christopher David Scroggins

View on SEC IAPD

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