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Colleen Lynne Erickson

Ubs Financial Services Inc.

Palo Alto, CA

Fremont, CA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2010-06-09
  • CA RA
    APPROVED
    Since 2010-06-09

Branch Locations

305 Lytton Avenue, Palo Alto, CA 94301 • United States

Fremont, CA • 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 Menlo Park CA 06/2010 Present
Previous Registrations
  • 2009-06-01 → 2009-11-27
    Morgan Stanley
    San Francisco, CA
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    San Francisco, CA
    Valencia, CA
    San Francisco, CA
    Los Gatos, CA
  • 1998-11-02 → 2007-04-02
    Morgan Stanley Dw Inc.
    Los Gatos, CA
    Palo Alto, CA
    San Francisco, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-08-26
S63 Uniform Securities Agent State Law Examination 1993-08-12
  • S65 Uniform Investment Adviser Law Examination
    2003-08-26
  • S63 Uniform Securities Agent State Law Examination
    1993-08-12

View on SEC IAPD

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