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William Richard Aulwes

Ubs Financial Services Inc.

Phoenix, AZ

Long Beach, CA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-07-17
CA RA APPROVED 2023-07-03
  • TX RA
    APPROVED
    Since 2023-07-17
  • CA RA
    APPROVED
    Since 2023-07-03

Branch Locations

2575 East Camelback Road Suite 900, Phoenix, AZ 85016 • United States

Long Beach, CA • 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
The Capital Group Companies Irvine CA 04/2008 10/2022
Unemployed Long Beach CA 10/2022 12/2022
Ubs Financial Services Seal Beach CA 12/2022 Present
  • 04/2008 → 10/2022
    The Capital Group Companies
    Irvine, CA
  • 10/2022 → 12/2022
    Unemployed
    Long Beach, CA
  • 12/2022 → Present
    Ubs Financial Services
    Seal Beach, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-07-03
S63 Uniform Securities Agent State Law Examination 1996-12-11
  • S66 Uniform Combined State Law Examination
    2023-07-03
  • S63 Uniform Securities Agent State Law Examination
    1996-12-11

View on SEC IAPD

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