David Phillip Garza

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2020-10-05
CA	RA	APPROVED	2017-12-04

TX RA
APPROVED

Since 2020-10-05
CA RA
APPROVED

Since 2017-12-04

Branch Locations

2000 Avenue Of The Stars 12Th Floor South, Los Angeles, CA 90067 • 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

Organization	City	State	From	To
City National Bank (City National Rochdale)	Beverly Hills	CA	10/2010	05/2017
Unemployed	Ca	CA	05/2017	11/2017
Ubs Financial Services	Los Angeles	CA	11/2017	Present

10/2010 → 05/2017

City National Bank (City National Rochdale)

Beverly Hills, CA
05/2017 → 11/2017

Unemployed

Ca, CA
11/2017 → Present

Ubs Financial Services

Los Angeles, CA

Previous Registrations

2014-08-29 → 2017-04-12

Rbc Rochdale, Llc

Beverly Hills, CA
2003-06-09 → 2006-08-11

Engemann Asset Management

Pasadena, CA

Other Businesses

Garza Family Partners LLC / Partnership / LLC with my two brothers that holds a vacation rental condo in Mammoth Lakes, CA / Partner / Helping manage a vacation rental property. Start date - 3/2/2020

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2018-01-31
S65	Uniform Investment Adviser Law Examination	1994-04-25

S63 Uniform Securities Agent State Law Examination

2018-01-31
S65 Uniform Investment Adviser Law Examination

1994-04-25

Designations

Other Names

David Garza

View on SEC IAPD