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Shelley Goglio

Ubs Financial Services Inc.

Los Gatos, CA

San Jose, 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 2007-10-12
CA RA APPROVED 1997-07-08
  • TX RA
    APPROVED_RES
    Since 2007-10-12
  • CA RA
    APPROVED
    Since 1997-07-08

Branch Locations

750 University Avenue Suite 250, Los Gatos, CA 95032 • United States

San Jose, 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. Los Gatos CA 06/1989 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-09-05
S63 Uniform Securities Agent State Law Examination 1993-11-04
  • S65 Uniform Investment Adviser Law Examination
    2000-09-05
  • S63 Uniform Securities Agent State Law Examination
    1993-11-04
Other Names
  • Shelley Marie Goglio
  • Shelley Marie Richardson

View on SEC IAPD

Other Firms

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J.P. MORGAN SECURITIES LLC
REACT INVESTMENT SOLUTIONS, LLC
LEGACY CAPITAL GROUP CALIFORNIA, INC.
INTEGRITY ALLIANCE, LLC.
CHARLES SCHWAB & CO., INC.
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
LOS GATOS FINANCIAL LLC

Other Investors

HARRY SAPUTRA
JENNIFER TRAN
ZACHARY D. LEVY
MARCELA GUADALUPE GONZALEZ
JOYCE WONG IRMER
LUCAS ORME
DIEU TRAN
ELYSSA JOY QUILLA VERZOSA

Other Offices

STRATEGIC ADVISERS LLC · LOS GATOS, CA
J.P. MORGAN SECURITIES LLC · LOS GATOS, CA
REACT INVESTMENT SOLUTIONS, LLC · LOS GATOS, CA
LEGACY CAPITAL GROUP CALIFORNIA, INC. · LOS GATOS, CA
INTEGRITY ALLIANCE, LLC. · Los Gatos, CA
CHARLES SCHWAB & CO., INC. · Los Gatos, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS GATOS, CA
LOS GATOS FINANCIAL LLC · LOS GATOS, CA

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