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Karen Margaret Spencer

Ubs Financial Services Inc.

Los Gatos, CA

San Martin, 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 2008-12-09
TX RA APPROVED 2008-12-05
  • CA RA
    APPROVED
    Since 2008-12-09
  • TX RA
    APPROVED
    Since 2008-12-05

Branch Locations

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

San Martin, 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 11/2013 Present
Previous Registrations
  • 2007-04-02 → 2008-12-08
    Morgan Stanley & Co. Llc
    San Jose, CA
  • 1998-11-02 → 2007-04-02
    Morgan Stanley Dw Inc.
    San Jose, CA
    San Jose, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-12-20
S63 Uniform Securities Agent State Law Examination 1994-08-12
  • S66 Uniform Combined State Law Examination
    2007-12-20
  • S63 Uniform Securities Agent State Law Examination
    1994-08-12
Other Names
  • Karen Margaret Canepa

View on SEC IAPD

Other Firms

STRATEGIC ADVISERS LLC
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

More in Los Gatos, CA

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