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Philip Alan Carpenter

Ubs Financial Services Inc.

Seal Beach, CA

Long Beach, 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 2017-03-13
CA RA APPROVED 1997-07-08
  • TX RA
    APPROVED_RES
    Since 2017-03-13
  • CA RA
    APPROVED
    Since 1997-07-08

Branch Locations

3030 Old Ranch Pkwy Suite 300, Seal Beach, CA 90740 • United States

Long Beach, 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. Los Angeles CA 04/1985 Present
Other Businesses

NATIONAL FUTURES ASSOCIATION/300 SOUTH RIVERSIDE PLAZA, SUITE 1800/CHICAGO, IL 60606-6615/ARBITRATOR/1 HR. PER MONTH.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1985-11-19
  • S63 Uniform Securities Agent State Law Examination
    1985-11-19

View on SEC IAPD

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Other Offices

CHARLES SCHWAB & CO., INC. · Seal Beach, CA
J.P. MORGAN SECURITIES LLC · SEAL BEACH, CA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · SEAL BEACH, CA
LPL FINANCIAL LLC · SEAL BEACH, CA
OSAIC WEALTH, INC. · SEAL BEACH, CA
AMIP MANAGEMENT · SEAL BEACH, CA
MY PORTFOLIO GUIDE, LLC · SEAL BEACH, CA
FINEBERG FINANCIAL MANAGEMENT LLC · SEAL BEACH, CA

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