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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2019-01-30 |
| CA | RA | APPROVED | 2001-07-18 |
Branch Locations
400 S. El Camino Real Suite 900, San Mateo, CA 94402 • United States
400 El Camino Real Suite 900, San Mateo, CA 94402 • United States
Boulder Creek, 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. | San Mateo | CA | 05/2001 | Present |
FINRA / 1735 K Street Washington,DC 20006 / Company/ Services (Business, Professional, Support) / Financial Services Self-Regulatory Organization / 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 FINRA Market Regulation Commitee / Start Date 6/1/2017/ Quarterly meetings. Typically 1 day of meetings.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1982-09-08 |
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