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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2016-03-14
CA RA APPROVED 2000-08-18
  • TX RA
    APPROVED_RES
    Since 2016-03-14
  • CA RA
    APPROVED
    Since 2000-08-18

Branch Locations

Newport Beach, CA • United States

888 San Clemente Drive, Newport Beach, CA 92660 • 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
OrganizationCityStateFromTo
Ubs Financial Services Inc. Newport Beach CA 08/2000 Present
Other Businesses

University of Maryland Alumni Association / College Park United States,California www.alumni.umd.edu / No/ 10/3/2013 organize social and fund raising events in orange county ca. / No / Other / group leader of orange county ca. maryland alumni association / fund raising, charity, and social events / Start Date 10/1/13

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-02-07
S63 Uniform Securities Agent State Law Examination 1983-05-25
  • S65 Uniform Investment Adviser Law Examination
    1996-02-07
  • S63 Uniform Securities Agent State Law Examination
    1983-05-25

View on SEC IAPD

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