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Sylvia Rodriguez Flores

Ubs Financial Services Inc.

Westlake Village, CA

CRD 6723812

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Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2021-03-12
  • CA RA
    APPROVED
    Since 2021-03-12

Branch Locations

3011 Townsgate Road Suite 300, Westlake Village, CA 91361 • 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. Westlake Village CA 11/2016 Present
Unemployed Lake Balvoa CA 11/2014 11/2016
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-03-12
  • S66 Uniform Combined State Law Examination
    2021-03-12

View on SEC IAPD

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Nearby Offices

MANCHESTER FINANCIAL INC · WESTLAKE VILLAGE, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · WESTLAKE VILLAGE, CA
EAGLE STRATEGIES LLC · WESTLAKE VILLAGE, CA

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