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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 1997-07-08 |
| TX | RA | APPROVED_RES | 1985-12-09 |
Branch Locations
1200 Prospect Street Suite 100, La Jolla, CA 92037 • United States
1200 Prospect Street Suite 500, La Jolla, CA 92038 • United States
La Jolla, CA • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | La Jolla | CA | 04/1983 | Present |
CONNECT / 8950 VILLA LA JOLLA DR A124 LA JOLLA, CA 92037 / TRADE OR INDUSTRY ASSOCIATION / OTHER INNOVATION / TO ACCELERATE THE INNOVATION HUB IN SAN DIEGO CA / IS THIS AN INDUSTRY SECTOR ORGANIZATION? N/A / MEMBER OF BOARD OF DIRECTORS / ADVISORY BOARD MEMBER FOR 501C3 FOUNDATION / WILL YOU HAVE AUTHORITY TO MAKE INVESTMENT DECISIONS ON BEHALF OF THE COMPANY? NO/ 01/01/2009.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-05-08 |
| S63 | Uniform Securities Agent State Law Examination | 1985-11-01 |
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