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Jose Luis Rincon-Gallardo Romo

Ubs Financial Services Inc.

The Woodlands, TX

Houston, TX

The Woodlands, TX

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2013-07-02
TX RA APPROVED 2013-06-28
  • FL RA
    APPROVED
    Since 2013-07-02
  • TX RA
    APPROVED
    Since 2013-06-28

Branch Locations

The Woodlands, TX • United States

4400 Post Oak Parkway Suite 1800, Houston, TX 77027 • United States

1780 Hughes Landing Blvd. Suite 200, The Woodlands, TX 77380-1687 • 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. Houston TX 06/2013 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-09-15
  • S66 Uniform Combined State Law Examination
    2011-09-15
Other Names
  • Jose Rincon-Gallardo

View on SEC IAPD

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