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Michael Alexander Giuntini

Ubs Financial Services Inc.

Newport Beach, CA

North Tustin, CA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2018-11-08
TX RA APPROVED 2018-11-08
  • CA RA
    APPROVED
    Since 2018-11-08
  • TX RA
    APPROVED
    Since 2018-11-08

Branch Locations

888 San Clemente Drive, Newport Beach, CA 92660 • United States

North Tustin, CA • 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 Advisors, Llc Los Angeles CA 07/2014 11/2016
Wells Fargo Clearing Services, Llc Los Angeles CA 11/2016 11/2018
Wells Fargo Clearing Services Llc Los Angeles CA 11/2018 11/2018
Ubs Financial Services Newport Beach CA 11/2018 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-10-07
  • S66 Uniform Combined State Law Examination
    2015-10-07

View on SEC IAPD

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