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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
HI RA APPROVED 2024-06-18
NV RA APPROVED 2023-08-14
TX RA APPROVED_RES 2014-02-24
CA RA APPROVED 2014-01-17
  • HI RA
    APPROVED
    Since 2024-06-18
  • NV RA
    APPROVED
    Since 2023-08-14
  • TX RA
    APPROVED_RES
    Since 2014-02-24
  • CA RA
    APPROVED
    Since 2014-01-17

Branch Locations

222 E. Carrillo St., Suite 106, Santa Barbara, CA 93101 • United States

937 Tahoe Boulevard Suite 201, Incline Village, NV 89451 • 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. Santa Barbara CA 01/2014 Present
Previous Registrations
Other Businesses

VLUNDOZ LLC; 71251 Sahara Rd, Rancho Mirage, CA 92270; Managing rental properties wholly owned; Other; LLC Member; signing documents & making decisions in conjunction with my wife; 9/22/2014; Business hours per month: No // FLOOD VACATIONS; 71251 Sahara Rd, Rancho Mirage, CA 92270; Managing vacation rental properties wholly owned; Proprietor/owner; LLC Member; signing documents & making decisions in conjunction with my wife; 9/22/2016; Business hours per month: No

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-03-25
S63 Uniform Securities Agent State Law Examination 1994-10-13
  • S65 Uniform Investment Adviser Law Examination
    1999-03-25
  • S63 Uniform Securities Agent State Law Examination
    1994-10-13

View on SEC IAPD

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