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Mia Malave

Ubs Financial Services Inc.

Seattle, WA

Seattle, WA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2017-04-19
  • WA RA
    APPROVED
    Since 2017-04-19

Branch Locations

925 Fourth Avenue 31St & 32Nd Floor, Seattle, WA 98104 • United States

Seattle, WA • 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
Wells Fargo Bank Na Seattle WA 06/2006 04/2017
Wells Fargo Advisors Llc Seattle WA 07/2013 11/2016
Wells Fargo Clearing Services, Llc Seattle WA 11/2016 04/2017
Ubs Bank Usa Seattle WA 04/2017 Present
Ubs Financial Services Seattle WA 04/2017 Present
  • 06/2006 → 04/2017
    Wells Fargo Bank Na
    Seattle, WA
  • 07/2013 → 11/2016
    Wells Fargo Advisors Llc
    Seattle, WA
  • 11/2016 → 04/2017
    Wells Fargo Clearing Services, Llc
    Seattle, WA
  • 04/2017 → Present
    Ubs Bank Usa
    Seattle, WA
  • 04/2017 → Present
    Ubs Financial Services
    Seattle, WA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-12-03
S63 Uniform Securities Agent State Law Examination 2013-09-12
  • S66 Uniform Combined State Law Examination
    2015-12-03
  • S63 Uniform Securities Agent State Law Examination
    2013-09-12
Other Names
  • Mia Malave
  • Mia Malave
  • Mia-Nicole Malave
  • Mia Nicole Malave-Delong
  • Mia N Malave-Delong

View on SEC IAPD

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CHRIS DARRYL FEATHERSTONE
WILLIAM LEE REECE
ANDREW JAMES BARFOOT
JONATHAN JACOB WITTLIN
MATTHEW ALLAN TIGERT
JENNA M BRAZILE

Other Offices

KLAKNA GROUP LTD · SEATTLE, WA
EUCLIDEAN TECHNOLOGIES MANAGEMENT, LLC · SEATTLE, WA
MADISON PARK CAPITAL ADVISORS, LLC · SEATTLE, WA
ETERNAL DIGITAL FUND LTD. · SEATTLE, WA
FREESTONE CAPITAL MANAGEMENT, LLC · SEATTLE, WA
CEDAR RIVER CAPITAL, LLC · SEATTLE, WA
ROBERT A. UNDERHILL P.C. · SEATTLE, WA
SITKA PACIFIC CAPITAL MANAGEMENT, LLC · SEATTLE, WA

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