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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2015-11-16
TX RA APPROVED 2015-11-16
  • CA RA
    APPROVED
    Since 2015-11-16
  • TX RA
    APPROVED
    Since 2015-11-16

Branch Locations

2000 Avenue Of The Stars 12Th Floor South, Los Angeles, CA 90067 • 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 Los Angeles CA 11/2015 Present
Previous Registrations
  • 2011-03-04 → 2015-12-16
    Credit Suisse Securities (Usa) Llc
    Los Angeles, CA
  • 2000-11-17 → 2011-03-02
    Santa Monica, CA
    Dallas, TX
  • 2001-04-25 → 2007-03-28
    Fidelity Personal Trust Company, Fsb
    Dallas, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-10-25
S63 Uniform Securities Agent State Law Examination 1995-12-04
  • S66 Uniform Combined State Law Examination
    2000-10-25
  • S63 Uniform Securities Agent State Law Examination
    1995-12-04

View on SEC IAPD

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