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Diana E Mendoza

Ubs Financial Services Inc.

Bellevue, WA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2026-01-16
WA RA APPROVED 2026-01-16
  • TX RA
    APPROVED
    Since 2026-01-16
  • WA RA
    APPROVED
    Since 2026-01-16

Branch Locations

225 108Th Avenue Ne Suite 800, Bellevue, WA 98004 • 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
Morgan Stanley Kirkland WA 12/2021 01/2026
Bank Of America Woodinville WA 05/2011 12/2021
Ubs Financial Services Inc. Bellevue WA 01/2026 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-06-08
  • S66 Uniform Combined State Law Examination
    2023-06-08
Other Names
  • Diana Estefania Mendoza Martinez
  • Diana Estefania Gregory

View on SEC IAPD

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BASECAMP WEALTH ADVISORS, LLC · BELLEVUE, WA
THREADLINE WEALTH · BELLEVUE, WA
SCS · BELLEVUE, WA
STEWARD CAPITAL LLC. · BELLEVUE, WA
GALLAGHER FIDUCIARY ADVISORS, LLC · Bellevue, WA
LPL FINANCIAL LLC · BELLEVUE, WA
LIDO · BELLEVUE, WA
FOCUS PARTNERS WEALTH, LLC · Bellevue, WA

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