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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NV RA APPROVED 2023-11-02
CA RA APPROVED 2020-07-01
  • NV RA
    APPROVED
    Since 2023-11-02
  • CA RA
    APPROVED
    Since 2020-07-01

Branch Locations

600 West Broadway Suite 2100, San Diego, CA 92101 • United States

888 San Clemente Drive, Newport Beach, CA 92660 • United States

600 West Broadway Suite 2100, San Diego, CA 92101 • United States

17180 Bernardo Center Drive Suite 100, San Diego, CA 92128 • United States

12220 El Camino Real Suite 400, San Diego, CA 92130 • United States

1200 Prospect Street Suite 100, La Jolla, CA 92037 • United States

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

14624 N. Scottsdale Rd Suite 300, Scottsdale, AZ 85254 • United States

2840 E. Skyline Drive Suite 200, Tucson, AZ 85718 • United States

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

Scottsdale, AZ • 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
Morgan Stanley Smith Barney Greely CO 06/2009 06/2020
Ubs Financial Services Inc. Los Angeles CA 06/2020 Present
Previous Registrations
  • 2009-06-01 → 2020-04-22
    Sherman Oaks, CA
    Greely, CO
    Denver, CO
    Brea, CA
    Irvine, CA
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Greely, CO
    Denver, CO
  • 1999-05-26 → 2007-04-02
    Morgan Stanley Dw Inc.
    Denver, CO
    Colorado Springs, CO
Other Businesses

1. Business / Company;Consilium, LLC;Entertainment - Speaking/Publishing; As of 05/2015;During business hours 0; After business hours 10. 2. Prime Emergency Services, LLC; Investment related Yes; California; Emergency Incident Logistics; Co-Owner (proprietor, partner, officer, director, employee, trustee, agent); Aug 2018; During business hours: 0; After business hours: 1; Providing GIS (Geographic Content), and logistical services to emergency incidents. 3) Concilium LLC / 25822 Elderbrook Lane / Laguna Hills / CA / 92653/ UNited States / Co-operation / Personal LLC - Holding company for publishing and speaking business - Single fatherhood / Partner / Ownership stake in business?: Yes, 100% / Authority to make in Investment decisions?: Yes/ Start Date 2/10/2016

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-04-24
S63 Uniform Securities Agent State Law Examination 1996-04-19
  • S65 Uniform Investment Adviser Law Examination
    1996-04-24
  • S63 Uniform Securities Agent State Law Examination
    1996-04-19
Designations

View on SEC IAPD

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