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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| HI | RA | APPROVED | 2015-02-18 |
| TX | RA | APPROVED_RES | 2013-04-03 |
| CA | RA | APPROVED | 2013-02-01 |
Branch Locations
135 S. State College Blvd Suite 650, Brea, CA 92821 • United States
Wailea, HI • United States
Upland, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Brea | CA | 01/2013 | Present |
SUNNY BROWN FOUNDATION / 1760 N. PALM AVE. UPLAND,CA 91784 / FOUNDATION/ EDUCATION / PROVIDES SCHOLARSHIPS / OFFICER / / CEO / START DATE 4/10/1989 / 2) Name of Business- Keala O Wailea Home Owners Association. / Address- Maui, HI 96753 / Investment Related- YES 1.32% / Nature- Will be a board member on our 70 unit condo complex.. / Role- board member and treasurer! / Duty- involved in overseeing the operation of our condo association, working with auditors and CPA, member of the governing board for the homeowners. / Start Date- 3/18/2024 / Time Required- NO
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-06-23 |
| S63 | Uniform Securities Agent State Law Examination | 1982-02-16 |
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