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Rodney Lee Engel

Ubs Financial Services Inc.

Brea, CA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2008-03-03
TX RA APPROVED 2008-02-29
  • CA RA
    APPROVED
    Since 2008-03-03
  • TX RA
    APPROVED
    Since 2008-02-29

Branch Locations

135 S. State College Blvd Suite 650, Brea, CA 92821 • 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. Brea CA 02/2008 Present
Previous Registrations
  • 2007-04-02 → 2008-03-05
    Morgan Stanley & Co. Llc
    Brea, CA
  • 1997-07-08 → 2007-04-02
    Morgan Stanley Dw Inc.
    Brea, CA
    Brea, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-09-29
S63 Uniform Securities Agent State Law Examination 1995-09-18
  • S65 Uniform Investment Adviser Law Examination
    1995-09-29
  • S63 Uniform Securities Agent State Law Examination
    1995-09-18

View on SEC IAPD

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