Joshua C. Pottinger

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2008-11-28

TX RA
APPROVED

Since 2008-11-28

Branch Locations

401 W 4Th Street Suite 3100, Austin, TX 78701 • 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
Ubs Financial Services Inc	Austin	TX	11/2008	Present

11/2008 → Present

Ubs Financial Services Inc

Austin, TX

Previous Registrations

2007-04-02 → 2008-12-02

Morgan Stanley & Co. Llc

Austin, TX
2000-03-27 → 2007-04-02

Morgan Stanley Dw Inc.

Austin, TX

Austin, TX

Other Businesses

MOKIA LLC / 15 EHRLICH ROAD AUSTIN,TEXAS 78746 / PARTNERSHIP/ RETAILERS (APPAREL, FOOD, GENERAL) / MOBILE OUTDOOR KITCHEN / PARTNER / / 100% SINGLE PERSON LLC / START DATE 4/7/2015 Make a Wish Central and South Texas / 2224 Walsh Tarlton Lane, Suite 200 Austin,Texas 78746 / Other/ Charities, Cultural, Educational & Political Organisations / grant wishes to children with life threatening diseases / Member of Board of Directors / / i'm on the governing board / Start Date 08/01/2011 Lifeguarding AustinUnited States, Austin Texas United States-78746, Partnership, Services (Business, Professional, Support), My 17 year old son, will be providing lifeguarding services in Austin, Tx, Proprietor / owner, Other than general oversight, my son will run the business, start date-2/16/2025, Investment related-Yes.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2001-03-22
S63	Uniform Securities Agent State Law Examination	1995-09-14

S65 Uniform Investment Adviser Law Examination

2001-03-22
S63 Uniform Securities Agent State Law Examination

1995-09-14

Other Names

Joshua Craig Pottinger

View on SEC IAPD