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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 2008-11-24
CA RA APPROVED 2008-10-31
  • TX RA
    APPROVED_RES
    Since 2008-11-24
  • CA RA
    APPROVED
    Since 2008-10-31

Branch Locations

1200 Prospect St Suite 100, La Jolla, CA 92038 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc La Jolla CA 10/2008 Present
Previous Registrations
  • 2007-04-02 → 2008-11-04
    Morgan Stanley & Co. Llc
    La Jolla, CA
  • 1996-03-08 → 2007-04-02
    Morgan Stanley Dw Inc.
    Lajolla, CA
    La Jolla, CA
Other Businesses

TO SERVE ON THE BOARD OF DIRECTORS AS TREASURER FOR THE JUVENILE DIABETES RESEARCH FOUNDATION. 2)BRAYDORE PARTNERS / 10626 BIRCH BLUFF AVENUE SAN DIEGO,CA 92131 / / INVEST IN PRIVATE EQUITY / PARTNER / / PARTNER / START DATE 5/28/2015 Georgia Street Rental Property / 3944-3946 Georgia St San Diego, CA 92103 / Other/ Real Estate Residential Rental Property / Other / Co-owner of property / Collect rental income, pay rental expenses / Start Date 6/2018 Rental Property Meade Apartments / 1517-1521 Mead Ave San Diego,CA 92116 / Other/ Real Estate / Residential Rental Property / Other / Co-owner of property / Collect rental income, pay rental expenses / Start Date Rental Property

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-09-15
S63 Uniform Securities Agent State Law Examination 1994-08-25
  • S65 Uniform Investment Adviser Law Examination
    1995-09-15
  • S63 Uniform Securities Agent State Law Examination
    1994-08-25
Designations

View on SEC IAPD

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