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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2003-03-10 |
| CA | RA | APPROVED | 1997-07-08 |
Branch Locations
888 San Clemente Drive Suite 400, Newport Beach, CA 92660 • United States
888 San Clemente Drive, Newport Beach, CA 92660 • United States
Laguna Niguel, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Paine Webber | Newport Beach | CA | 01/1994 | Present |
| Ubs Financial Services Inc. | Newport Beach | CA | 01/1994 | Present |
RESERVE POLICE OFFICER FOR THE HUNTINGTON BEACH POLICE DEPARTMENT, 2000 MAIN PLACE, HUNTINGTON BEACH, CA 92648. THE OUTSIDE ACTIVITY IS NOT INVESTMENT RELATED. THE NATURE OF THE BUSINESS IS PUBLIC SAFETY AND SERVICE, HIS POSITION IS POLICE OFFICER, HE WORKS APPROX 20 HOURS PER MONTH, ONE WEEKEND PER MONTH, NOT DURING BUSINESS HOURS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-04-08 |
| S63 | Uniform Securities Agent State Law Examination | 1994-03-30 |
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