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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2021-06-04
TX RA APPROVED_RES 2019-02-22
CA RA APPROVED 2008-09-16
  • FL RA
    APPROVED
    Since 2021-06-04
  • TX RA
    APPROVED_RES
    Since 2019-02-22
  • CA RA
    APPROVED
    Since 2008-09-16

Branch Locations

131 South Rodeo Drive Suite 300, Beverly Hills, CA 90212 • United States

Orlando, FL • United States

Disclosures

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.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc Beverly Hills CA 08/2008 Present
Previous Registrations
  • 2007-02-21 → 2008-06-13
    Osaic Fa, Inc.
    Irvine, CA
    San Ramon, CA
Other Businesses

Beach Cities Lodge #753 F & AM 1535 Artesia Blvd. Manhattan Beach, CA 90266/ Principal business activities- Fraterninty - Investment Board Member/ Duty-Investment Board Member/ Comp.-No Start date - 4/27/2010

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-02-20
  • S66 Uniform Combined State Law Examination
    2007-02-20

View on SEC IAPD

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