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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2022-08-11
  • CA RA
    APPROVED
    Since 2022-08-11

Branch Locations

600 West Broadway Suite 2100, San Diego, CA 92101 • United States

La Jolla, 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 San Diego CA 05/2009 11/2016
Wells Fargo Clearing Services, Llc San Diego CA 11/2016 08/2022
Ubs Financial Services Inc San Diego CA 08/2022 Present
Previous Registrations
  • 2003-07-01 → 2022-08-12
    San Diego, CA
    Carlsbad, CA
    San Diego, CA
    Irvine, CA
    La Jolla, CA
    Mission Viejo, CA
    Beverly Hills, CA
    Los Angeles, CA
    El Segundo, CA
    El Segundo, CA
    Bakersfield, CA
    San Diego, CA
    Irvine, CA
    Long Beach, CA
    La Jolla, CA
  • 1998-06-04 → 2003-07-01
    Prudential Equity Group, Llc
    San Diego, CA
Other Businesses

1) CO-TRUSTEE FOR MOTHER'S TRUST; INVESTMENT RELATED; LA JOLLA, CA; START DATE 3/2012; 1 HR PER MONTH. RENTAL PROPERTY; INVESTMENT RELATED; LA JOLLA,CA; 50% OWNERSHIP; START DATE 09/01/2019; NUMBER OF HOURS PER MONTH 0; NUMBER OF HOURS DURING TRADING 0; NO DUTIES. 2) NAME OF OTHER BUSINESS: Rest Haven Children's Health Fund/ INVESTMENT RELATED?: No / ADDRESS: PO Box 1027, San Marcos, CA / NATURE OF THE BUSINESS: Charity / POSITION: Board Member/ DUTIES: Review grant requests for children who are in need of medical or health funding. / START DATE: 1-20-2012 / HOURS DEVOTED TO BUSINESS: NA

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-08-25
S63 Uniform Securities Agent State Law Examination 1997-01-31
  • S65 Uniform Investment Adviser Law Examination
    1999-08-25
  • S63 Uniform Securities Agent State Law Examination
    1997-01-31
Other Names
  • Karrin Peterson
  • Karrin M Ryan
  • Karrin Michelle Peterson
  • Karrin Michele Peterson
  • Karrin Michelle Ryan
  • Karrin Ryan

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