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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 2005-05-18
CA RA APPROVED 1997-07-08
  • TX RA
    APPROVED_RES
    Since 2005-05-18
  • CA RA
    APPROVED
    Since 1997-07-08

Branch Locations

600 West Broadway Suite 2000, San Diego, CA 92101 • United States

600 West Broadway Suite 2100, San Diego, CA 92101 • United States

San Diego, CA • 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. San Diego CA 01/1984 Present
Other Businesses

SAN DIEGO ALPINE LEAGUE; 3859 Bernice Drive, San Diego, CA 92107; Organizes ski races; Member of Board of directors; Treasurer; 1/1/1998; Business hours per month: No // ROKKA LEAGUE; P.O. Box 10266, Los Angeles; CA 91209-3266; ROKKA is the ski racing league affiliated with the Los Angeles Council of Ski Clubs. It organizes recreational ski races at Mammoth Mountain; Officer; I was appointed Treasurer subject to my employers approval; 9/1/2018; Business hours per month: Yes B.B TRUST, Family revocable trust, San Diego California United States-92107, All duties of a grantor and trustee, start date-2/3/2025.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1984-05-07
  • S63 Uniform Securities Agent State Law Examination
    1984-05-07

View on SEC IAPD

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