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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2015-10-19 |
| CA | RA | APPROVED | 2006-11-27 |
Branch Locations
3011 Townsgate Road Suite 300, Westlake Village, CA 91361 • United States
Westlake Village, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Woodlandhills | CA | 11/2006 | Present |
MEMBER (MINORITY NON-CONTROLLING OWNER) AND FORMER EMPLOYEE OF BOTH FIRMS START DATE: APRIL 14, 1998 RESIGNED AS EMPLOYEE: JUNE 1, 2006 STILL HOLD MINORITY OWNERSHIP POSITION IN BOTH FIRMS WITH NO INVOLVEMENT IN THE BUSINESS AFFAIRS OR MANAGEMENT OF EITHER FIRM. NO DUTIES AND ZERO HOURS DEVOTED TO EITHER BUSINESS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-06-26 |
| S63 | Uniform Securities Agent State Law Examination | 1993-05-03 |
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