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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2021-11-05
CA RA APPROVED 2021-11-03
TX RA APPROVED_RES 2009-08-18
HI RA APPROVED 2009-02-27
  • MI RA
    APPROVED
    Since 2021-11-05
  • CA RA
    APPROVED
    Since 2021-11-03
  • TX RA
    APPROVED_RES
    Since 2009-08-18
  • HI RA
    APPROVED
    Since 2009-02-27

Branch Locations

733 Bishop St, Honolulu, HI 96813 • United States

Kailua, HI • 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 Honolulu HI 02/2009 Present
Previous Registrations
Other Businesses

JIC2010, LLC / 100 E San Marcos Blvd. Ste 400 San Marcos,CA 92069 / Other/ Real Estate / rental real estate / Sole proprietorship / / buy, sell and manage rental real estate / Start Date 11/10/14 The property is at 819 Eucalyptus Ave, Vista, CA 92084 and we'll be purchasing it through our LLC - JIC2010, LLC -previously disclosed to UBS, This is a four unit rental property, Proprietor / owner, Property management oversight9/1/2023, VistaCAUnited States92084

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-01-16
S63 Uniform Securities Agent State Law Examination 1995-04-04
  • S65 Uniform Investment Adviser Law Examination
    1997-01-16
  • S63 Uniform Securities Agent State Law Examination
    1995-04-04

View on SEC IAPD

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