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Cecilia Monserrat Corral

Ubs Financial Services Inc.

Seal Beach, CA

Weehawken, NJ

Downey, 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 2020-03-31
  • CA RA
    APPROVED
    Since 2020-03-31

Branch Locations

3030 Old Ranch Pkwy Suite 300, Seal Beach, CA 90740 • United States

1000 Harbor Blvd 6Th, Weehawken, NJ 07086 • United States

Downey, 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
Wells Fargo Advisors Llc Los Angeles CA 01/2011 11/2016
Wells Fargo Clearing Services, Llc Los Angeles CA 11/2016 Present
Ubs Financial Services Inc. Seal Beach CA 03/2020 Present
Previous Registrations
  • 2011-01-03 → 2020-01-27
    Wells Fargo Clearing Services, Llc
    Beverly Hills, CA
    El Segundo, CA
    Beverly Hills, CA
    Los Angeles, CA
    Santa Rosa, CA
    El Segundo, CA
    Charlotte, NC
  • 2002-08-14 → 2011-01-03
    Wells Fargo Investments, Llc
    Los Angeles, CA
    Beverly Hills, CA
    Beverly Hills, CA
  • 1997-07-08 → 2002-08-05
    Charles Schwab & Co., Inc.
    Los Angeles, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-03-25
S63 Uniform Securities Agent State Law Examination 1994-08-10
  • S65 Uniform Investment Adviser Law Examination
    2015-03-25
  • S63 Uniform Securities Agent State Law Examination
    1994-08-10
Other Names
  • C Vasquez
  • Cecilia Corral
  • Cecilia M Vasquez
  • Cecilia Monserrat Corral

View on SEC IAPD

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CHARLES SCHWAB & CO., INC. · Seal Beach, CA
J.P. MORGAN SECURITIES LLC · SEAL BEACH, CA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · SEAL BEACH, CA
LPL FINANCIAL LLC · SEAL BEACH, CA
OSAIC WEALTH, INC. · SEAL BEACH, CA
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MY PORTFOLIO GUIDE, LLC · SEAL BEACH, CA
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