John Victor Lipari

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2022-01-18
CA	RA	APPROVED	2014-12-12

TX RA
APPROVED_RES

Since 2022-01-18
CA RA
APPROVED

Since 2014-12-12

Branch Locations

Carlsbad, CA • United States

15260 Ventura Boulevard Suite 1800, Sherman Oaks, CA 91403 • United States

Disclosures

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.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc	Encino	CA	12/2014	Present

12/2014 → Present

Ubs Financial Services Inc

Encino, CA

Previous Registrations

2009-06-01 → 2014-12-17

Morgan Stanley

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

Morgan Stanley & Co. Llc

Woodland Hills, CA
1997-07-08 → 2007-04-02

Morgan Stanley Dw Inc.

Woodland Hills, CA

Woodland Hls, CA

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1983-07-28

S63 Uniform Securities Agent State Law Examination

1983-07-28