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Timothy M Wu

Ubs Financial Services Inc.

Lake Oswego, OR

Brea, CA

Ridgefield, 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 2022-06-29
CA RA APPROVED 2016-10-17
  • WA RA
    APPROVED
    Since 2022-06-29
  • CA RA
    APPROVED
    Since 2016-10-17

Branch Locations

5300 Meadows Rd Suite 300, Lake Oswego, OR 97035-3229 • United States

135 S. State College Blvd Suite 650, Brea, CA 92821 • United States

Ridgefield, 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
Caltech Pasadena CA 09/2008 Present
Ubs Financial Services Inc. Brea CA 12/2015 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-10-17
  • S66 Uniform Combined State Law Examination
    2016-10-17
Other Names
  • Timothy Mengying Wu

View on SEC IAPD

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