Patricia Ann Johnson

Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
UT	RA	APPROVED	2025-12-18
TX	RA	APPROVED_RES	2013-12-10
CA	RA	APPROVED	2012-09-17

UT RA
APPROVED

Since 2025-12-18
TX RA
APPROVED_RES

Since 2013-12-10
CA RA
APPROVED

Since 2012-09-17

Branch Locations

Heber City, UT • United States

2000 Avenue Of The Stars 12Th Floor South, Los Angeles, CA 90067 • 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

Organization	City	State	From	To
Ubs Financial Services Inc.	Los Angeles	CA	09/2012	Present

09/2012 → Present

Ubs Financial Services Inc.

Los Angeles, CA

Previous Registrations

2009-06-01 → 2012-10-10

Morgan Stanley

Pacific Palisades, CA

Beverly Hills, CA
2007-04-02 → 2009-06-01

Morgan Stanley & Co. Llc

Palisades, CA
1999-03-03 → 2007-04-02

Morgan Stanley Dw Inc.

Palisades, CA

Palisades, CA

Other Businesses

1)FAMILY FOUNDATION / LOS ANGELES,CA 90017 / FOUNDATION/ CHARITIES, CULTURAL, EDUCATIONAL & POLITICAL ORGANISATIONS / CHARITABLE GIFTS TO THE ARTS/ CHILDREN / TRUSTEE / SERVE AS TRUSTEE / START DATE 11/01/2012 . 2)Chrysalis / S. Main St. Los Angeles,CA 90013 / Foundation/ Charities, Cultural, Educational & Political Organisations / works with the homeless & low income individuals for job training and employment, goal to create a pathway to self-sufficiency / Advisor or member of an advisory committee, if the advice given will or may influence the board or other senior management or supervisory board of the organization in question / / member of the finance committee, however no funds have been invested as of this time / Start Date 06/01/2015 / quarterly meetings 2 hrs each 3)Chrysalis, 522 s Main st / 90013/ United States/ www.changelives.org No / Charity / / Start Date 5/7/19 /No / No 4)corpus christi Parish/investment related?:no/880 Toyopa Drive,pacific palisades,ca,90272,US/Charity/Advisor or advisory group member if advice given may influence an officer/board/"finance council; review all financial reports, balance sheets; profit & loss for the church and school. vote on tuition levels, spending etc."/start date:1/2/2019/TIme reqd duing working hours?: no

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1995-12-20
S63	Uniform Securities Agent State Law Examination	1980-04-26

S65 Uniform Investment Adviser Law Examination

1995-12-20
S63 Uniform Securities Agent State Law Examination

1980-04-26

View on SEC IAPD