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Robert Pierce Allen

Ubs Financial Services Inc.

Newport Beach, CA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2003-07-11
CA RA APPROVED 1999-01-28
  • TX RA
    APPROVED_RES
    Since 2003-07-11
  • CA RA
    APPROVED
    Since 1999-01-28

Branch Locations

888 San Clemente Drive, Newport Beach, CA 92660 • 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
Ubs Financial Services Inc. Los Angeles CA 04/1994 Present
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1995-10-26
S65 Uniform Investment Adviser Law Examination 1995-10-26
  • S63 Uniform Securities Agent State Law Examination
    1995-10-26
  • S65 Uniform Investment Adviser Law Examination
    1995-10-26
Other Names
  • Bob Allen

View on SEC IAPD

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PAAMCO PRISMA, LLC · NEWPORT BEACH, CA
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J.P. MORGAN SECURITIES LLC · NEWPORT BEACH, CA
AMERIPRISE FINANCIAL SERVICES, LLC · Newport Beach, CA

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