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John Frank Bruzzone

Ubs Financial Services Inc.

Walnut Creek, CA

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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 2015-03-10
CA RA APPROVED 2015-02-27
  • TX RA
    APPROVED_RES
    Since 2015-03-10
  • CA RA
    APPROVED
    Since 2015-02-27

Branch Locations

1255 Treat Blvd Suite 1000, Walnut Creek, CA 94597 • 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. Walnut Creek CA 03/2015 12/2017
Ubs Financial Services Inc> Napa CA 01/2018 Present
Previous Registrations
  • 2009-06-01 → 2015-03-11
    Morgan Stanley
    Hayward, CA
    Sonoma, CA
    Sonoma, CA
    Pleasanton, CA
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Hayward, CA
  • 1997-07-08 → 2007-04-02
    Morgan Stanley Dw Inc.
    Hayward, CA
    Hayward, CA
Other Businesses

BDOA Angus ranch / United States / PO Box 446 Vineburg / Vineburg / Ca / United States / 95487 Partner Basic animal care / 2 / other

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1984-07-24
  • S63 Uniform Securities Agent State Law Examination
    1984-07-24

View on SEC IAPD

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Other Offices

USCF ADVISERS · WALNUT CREEK, CA
BURTON ENRIGHT WELCH · WALNUT CREEK, CA
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC · WALNUT CREEK, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WALNUT CREEK, CA
SAVANT WEALTH MANAGEMENT · Walnut Creek, CA
ONE CAPITAL MANAGEMENT, LLC · Walnut Creek, CA
ROCKEFELLER FINANCIAL LLC · Walnut Creek, CA
OSAIC WEALTH, INC. · WALNUT CREEK, CA

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