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Alan S Tores

Ubs Financial Services Inc.

Westlake Village, CA

Bakersfield, 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 2018-07-24
CA RA APPROVED 2011-07-29
  • TX RA
    APPROVED_RES
    Since 2018-07-24
  • CA RA
    APPROVED
    Since 2011-07-29

Branch Locations

3011 Townsgate Road Suite 300, Westlake Village, CA 91361 • United States

9201 Camino Media Suite 230, Bakersfield, CA 93311 • 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. Westlake Village CA 07/2011 Present
Previous Registrations
  • 2003-07-01 → 2011-08-05
    Wells Fargo Clearing Services, Llc
    Westlake Village, CA
    Westlake Village, CA
  • 2001-08-10 → 2003-07-01
    Prudential Equity Group, Llc
    Westlake, CA
Other Businesses

1) Claire Dexter / Other / Health agent for Claire Dexter / Health agent

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1993-12-23
  • S63 Uniform Securities Agent State Law Examination
    1993-12-23
Designations
Other Names
  • Alan Tores
  • Eial Svi Tores
  • Eial Svi Tores
  • Alan Tores
  • Eial Su Tores
  • Eial Svi Tores
  • Eial S Tores

View on SEC IAPD

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Other Offices

MANCHESTER FINANCIAL INC · WESTLAKE VILLAGE, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · WESTLAKE VILLAGE, CA
EAGLE STRATEGIES LLC · WESTLAKE VILLAGE, CA
RKS MANAGEMENT, INC. · WESTLAKE VILLAGE, CA
MERCER GLOBAL ADVISORS INC. · Westlake Village, CA
LPL FINANCIAL LLC · WESTLAKE VILLAGE, CA
MML INVESTORS SERVICES, LLC · WESTLAKE VILLAGE, CA
EDWARD JONES · Westlake Village, CA

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