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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2011-03-21
CA RA APPROVED 2011-02-07
  • TX RA
    APPROVED
    Since 2011-03-21
  • CA RA
    APPROVED
    Since 2011-02-07

Branch Locations

3030 Old Ranch Pkwy Suite 300, Seal Beach, CA 90740 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc Long Beach CA 06/2006 Present
Other Businesses

1) Parker AZ House / 34009 Sagebrush Lane, Parker, Arizona 85344 / https://www.airbnb.com/rooms/38825002?source_impression_id=p3_1573148403_2aoEFyE7GGxh5yoy/ investment/rental property / Real Estate / Its a house our family uses and we share on Airbnb and VRBO / I own this home. I will have to maintain the property and a calendar for short term rentals. / Proprietor / owner / Receive Compensation?: YES / Start Date 11/1/2019 / 2)1825 Chatwin Ave, Long Beach, CA 90815 / Real Restate / investment related?:yes/ Private residence/Proprietor / owner/maintain property/ start date:8/26/2021

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-02-05
  • S66 Uniform Combined State Law Examination
    2011-02-05

View on SEC IAPD

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