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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2018-12-06
CA RA APPROVED 2015-07-29
  • TX RA
    APPROVED_RES
    Since 2018-12-06
  • CA RA
    APPROVED
    Since 2015-07-29

Branch Locations

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

Solana Beach, CA • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. San Diego CA 07/2015 Present
Previous Registrations
Other Businesses

YMCA of San Diego County / 3708 Ruffin Rd, San Diego,CA 92123 / Foundation/ Charities, Cultural, Educational & Political Organisations / underserved yuth and families / Member of Board of Directors / / Member, Investment and Finance Committees / Start Date 1/1/15

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-07-02
  • S66 Uniform Combined State Law Examination
    2010-07-02

View on SEC IAPD

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