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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2015-03-11 |
Branch Locations
200 Clock Tower Place Suite C-100, Carmel, CA 93923 • United States
30 E. Joaquin Street Suite 101, Salinas, CA 93901 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Salinas | CA | 03/2015 | Present |
SAN BENITO COUNTY HERITAGE FOUNDATION; TRES PINOS, CA; RUN MEETINGS, VOTE WITH OTHER BOARD MEMBERS, INVESTING FUNDS IN CASH; 10 HOURS AFTER BUSINESS; 5 HOURS DURING BUSINESS; 10/2009
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1994-05-25 |
| S65 | Uniform Investment Adviser Law Examination | 1994-05-25 |
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