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Nathaniel Phillip Nesbitt

Ubs Financial Services Inc.

Brea, CA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2007-03-09
CA RA APPROVED 1997-07-08
  • TX RA
    APPROVED_RES
    Since 2007-03-09
  • CA RA
    APPROVED
    Since 1997-07-08

Branch Locations

135 S. State College Blvd Suite 650, Brea, CA 92821 • 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
Ubs Financial Services Inc. Brea CA 01/1980 Present
Other Businesses

CIVIL AIRPATROL / SERACH AND RESCUE / DEPOSIT CHECKS BUDGETS FLIGHT RELEASE / START DATE 10/30/2014

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-05-10
S63 Uniform Securities Agent State Law Examination 1982-03-08
  • S65 Uniform Investment Adviser Law Examination
    1994-05-10
  • S63 Uniform Securities Agent State Law Examination
    1982-03-08

View on SEC IAPD

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