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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2011-04-29 |
| TX | RA | APPROVED | 2011-04-28 |
Branch Locations
3011 Townsgate Road Suite 300, Westlake Village, CA 91361 • United States
San Diego, CA • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Westlake Village | CA | 04/2011 | Present |
HIGHLAND YUCCA PARTNERSHIP / HOLLYWOOD CA 90028 / PARTNERSHIP / REAL ESTATE / REAL ESTATE-RETIAL SHOPPING CENTER / PARTNER / OVERSEE PROPERTY MANGEMENT / START DATE 06/10/2002. K.L. Living Trust / Mooresville North Carolina 28115 / Living Trust / My duties would include anything related to closing Ken's estate (i.e.- funeral and memorial arrangements, debt payments, tax returns, etc.) / Start Date: 2/20/2022
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-01-24 |
| S63 | Uniform Securities Agent State Law Examination | 1995-07-10 |
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