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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 1997-07-08
TX RA APPROVED_RES 1996-01-05
  • CA RA
    APPROVED
    Since 1997-07-08
  • TX RA
    APPROVED_RES
    Since 1996-01-05

Branch Locations

3030 Old Ranch Pkwy Suite 300, Seal Beach, CA 90740 • 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. Beverly Hills CA 01/1996 Present
Other Businesses

1)ORR FAMILY PARTNERSHIP. LONG BEACH, CA. YES - INVESTMENT RELATED. BUSINESS - PARTNERSHIP. TITLE - PARTNER. DATE - 08/14/2006. 1HR/MONTH. DUTIES - NONE. 2)NATIONAL FUTURES ASSOCIATION/300 S. RIVERSIDE PLAZA/CHICAGO, IL 60606/MEMBER ARBITRATOR/4 HRS. PER MONTH. BRAZILLIAN TOP TEAM LONG BEACK, CA 7/14/08 KIDS COACH/ INSTRUCTOR 8 HOURS PER MONTH. 2356-2358 Eucalyptus Ave, Long Beach, CA 90806, Own & rent, Proprietor / owner, Own & manage, start date-12/31/2017 Gameness World Wide, Brazilian Jiu Jitsu / Fightwear merchandise, Sponsored athlete, Wear their merchandise when I train and compete, start date-start date-11/7/2018, Carrollton TXUnited States-75006

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-12-10
S63 Uniform Securities Agent State Law Examination 1994-10-13
  • S65 Uniform Investment Adviser Law Examination
    1996-12-10
  • S63 Uniform Securities Agent State Law Examination
    1994-10-13

View on SEC IAPD

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