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Byron Thomas Sheffield

Ubs Financial Services Inc.

Newport Beach, CA

Laguna Niguel, 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 2015-08-26
TX RA APPROVED 2015-08-26
  • CA RA
    APPROVED
    Since 2015-08-26
  • TX RA
    APPROVED
    Since 2015-08-26

Branch Locations

888 San Clemente Drive, Newport Beach, CA 92660 • United States

Laguna Niguel, CA • 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. Newport Beach CA 08/2015 Present
Previous Registrations
  • 2006-07-26 → 2015-09-01
    Wells Fargo Clearing Services, Llc
    Laguna Beach, CA
    Newport Beach, CA
    Mission Viejo, CA
  • 1998-01-20 → 2006-08-11
    Crowell, Weedon & Co.
    Newport Beach, CA
    Laguana Hills, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-10-14
S63 Uniform Securities Agent State Law Examination 1984-04-09
  • S65 Uniform Investment Adviser Law Examination
    2006-10-14
  • S63 Uniform Securities Agent State Law Examination
    1984-04-09
Other Names
  • Tom Sheffield

View on SEC IAPD

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