Lisa A Rose

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2004-08-16

CA RA
APPROVED

Since 2004-08-16

Branch Locations

400 El Camino Real Suite 900, San Mateo, CA 94402 • United States

400 S. El Camino Real Suite 900, San Mateo, CA 94402 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien Yes
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc.	San Mateo	CA	10/2000	Present

10/2000 → Present

Ubs Financial Services Inc.

San Mateo, CA

Other Businesses

1. DSW Corp stock merchandise, retail associate stock merchandise , organize merchandise, start date-6/19/2018, San Mateo CA United States-94403.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2002-09-16

S66 Uniform Combined State Law Examination

2002-09-16

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Other Businesses

Exams

Other Firms

Other Investors

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