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Lucille Ann Denos

Ubs Financial Services Inc.

San Mateo, CA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2010-06-15
  • CA RA
    APPROVED
    Since 2010-06-15

Branch Locations

400 S. El Camino Real Suite 900, San Mateo, CA 94402 • 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
OrganizationCityStateFromTo
Ubs Financial Services Inc San Mateo CA 06/2010 Present
Previous Registrations
Other Businesses

Name of Business - Costco; Organization -Retail; Role - Back up Cashier.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-11-09
S63 Uniform Securities Agent State Law Examination 1997-07-18
  • S65 Uniform Investment Adviser Law Examination
    1998-11-09
  • S63 Uniform Securities Agent State Law Examination
    1997-07-18
Other Names
  • Lucille Howland
  • Lucille Ann Casavant

View on SEC IAPD

Other Firms

NEWFRONT RETIREMENT SERVICES, INC.
ESO MANAGEMENT SERVICES LLC
FARMERS ASSET MANAGEMENT, LLC
EAGLE STRATEGIES LLC
LPL FINANCIAL LLC
FISHER INVESTMENTS
TRANSAMERICA FINANCIAL ADVISORS, LLC
WELLS FARGO CLEARING SERVICES, LLC

Other Investors

MARCOS D PASTRANA
DEAN ALAN BECKER
SCOTT BARTLETT MCCLOSKEY
ABIY FISSEHA
CHRISTIAN MICHAEL BRETZ
CHRISTOPHER JAMES CALL
CLAY DEAN WILLIAM STAFFORD
Jacob Daly

Other Offices

NEWFRONT RETIREMENT SERVICES, INC. · SAN MATEO, CA
ESO MANAGEMENT SERVICES LLC · SAN MATEO, CA
FARMERS ASSET MANAGEMENT, LLC · San Mateo, CA
EAGLE STRATEGIES LLC · SAN MATEO, CA
LPL FINANCIAL LLC · SAN MATEO, CA
FISHER INVESTMENTS · SAN MATEO, CA
FISHER INVESTMENTS · SAN MATEO, CA
FISHER INVESTMENTS · SAN MATEO, CA

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