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Nicola C Barber

Ubs Financial Services Inc.

Seattle, WA

Bellingham, WA

Lynden, WA

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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 2006-08-12
WA RA APPROVED 2006-08-12
  • TX RA
    APPROVED_RES
    Since 2006-08-12
  • WA RA
    APPROVED
    Since 2006-08-12

Branch Locations

925 Fourth Avenue 31St & 32Nd Floor, Seattle, WA 98104 • United States

2219 Rimland Dr Suite 301, Bellingham, WA 98226 • United States

Lynden, WA • 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
U. S. Bancorp Piper Jaffray Inc. Lynden WA 10/1996 Present
Ubs Financial Services Inc. Bellingham WA 08/2006 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-04-16
  • S66 Uniform Combined State Law Examination
    2002-04-16
Other Names
  • Nici Barber

View on SEC IAPD

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