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Dave Raymond Stewart

Ubs Financial Services Inc.

Carmel, CA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NV RA APPROVED 2023-07-24
IL RA APPROVED 2023-07-21
WA RA APPROVED 2023-07-18
AL RA APPROVED 2023-07-17
TX RA APPROVED_RES 2015-02-23
CA RA APPROVED 1997-07-08
  • NV RA
    APPROVED
    Since 2023-07-24
  • IL RA
    APPROVED
    Since 2023-07-21
  • WA RA
    APPROVED
    Since 2023-07-18
  • AL RA
    APPROVED
    Since 2023-07-17
  • TX RA
    APPROVED_RES
    Since 2015-02-23
  • CA RA
    APPROVED
    Since 1997-07-08

Branch Locations

200 Clock Tower Place Suite C-100, Carmel, CA 93923 • 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. Carmel CA 01/1995 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-01-28
S63 Uniform Securities Agent State Law Examination 1983-05-11
  • S65 Uniform Investment Adviser Law Examination
    1992-01-28
  • S63 Uniform Securities Agent State Law Examination
    1983-05-11

View on SEC IAPD

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