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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-09-23 |
| OK | RA | APPROVED | 2024-09-23 |
| MN | RA | APPROVED | 2017-08-13 |
| TX | RA | APPROVED_RES | 2002-12-02 |
Branch Locations
355 Santana Row Suite 2050, San Jose, CA 95128 • United States
50 West San Fernando Street 8Th Floor*, San Jose, CA 95113 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | San Jose | CA | 11/1980 | Present |
CEP Society - Certified Equity Professional Institute Santa Clara University; Santa Clara, CA; CEP Society is being established as an alumni association for those who have obtained their CEP Certification from the CEPI at Santa Clara University. As a board member, we plan to set up networking and educational events. In 2006-7 I am to be treasurer.; Treasurer; Start date: 3/6/2006
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-01-15 |
| S63 | Uniform Securities Agent State Law Examination | 1983-09-06 |
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