Stephen Louis Rudolph

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2007-03-20
CA	RA	APPROVED	2005-02-18

TX RA
APPROVED_RES

Since 2007-03-20
CA RA
APPROVED

Since 2005-02-18

Branch Locations

305 Lytton Avenue, Palo Alto, CA 94301 • 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

Organization	City	State	From	To
Ubs Financial Services Inc	Menlo Park	CA	11/2013	Present

11/2013 → Present

Ubs Financial Services Inc

Menlo Park, CA

Previous Registrations

1997-07-08 → 2005-02-22

Morgan Stanley Dw Inc.

Palo Alto, CA

Other Businesses

WISELY GST TRUST / 6392 GLORIA DRIVE SACRAMENTO, CA 95831 / TRUST / OTHER / FAMILY TRUST / PERSONAL INVESTMENTS / TRUSTEE / ADVISORY / POTENTIAL DEALINGS WITH UBS: CLIENT START DATE 06/15/1998.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2001-05-02
S63	Uniform Securities Agent State Law Examination	1982-11-24

S65 Uniform Investment Adviser Law Examination

2001-05-02
S63 Uniform Securities Agent State Law Examination

1982-11-24

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Previous Registrations

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

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