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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-05-07
  • TX RA
    APPROVED
    Since 2021-05-07

Branch Locations

7250 Dallas Parkway Suite120, Plano, TX 75024 • United States

Allen, TX • 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
Nylife Securities Llc Frisco TX 03/2017 03/2018
Healthlevel Mountain View CA 07/2016 11/2016
New York Life Insurance Co Frisco TX 02/2017 03/2018
Unemployed Mckinney TX 11/2016 02/2017
Ubs Financial Services Inc. Plano TX 03/2018 Present
  • 03/2017 → 03/2018
    Nylife Securities Llc
    Frisco, TX
  • 07/2016 → 11/2016
    Healthlevel
    Mountain View, CA
  • 02/2017 → 03/2018
    New York Life Insurance Co
    Frisco, TX
  • 11/2016 → 02/2017
    Unemployed
    Mckinney, TX
  • 03/2018 → Present
    Plano, TX
Other Businesses

1) Transforming Visions To Dreams; Providing mentoring to "at-risk" teens in the Denton county area.; 1109 E Hebron Parkway #1101, Carrollton, TX 75010; Start Date 05/2017; Role/Title: Volunteer; Not Investment Related; 2 hours per month; 0 hours per month during securities trading hours /// 2) Name of Business: The Home Depot./ Address: 909 W McDermott Dr, Allen texas United States75013./ Investment Related: No./Nature: hourly employee restocking shelves overnight./ Role: hourly employee restocking shelves overnight./ Start Date: 2/16/2023./ Time Required: No. 3)Boston Scientific,Medical device manufacturing and sales,TexasUnited States,This would be PRN/as needed. I would be asked to check patient devices in a doctor's office or in the hospital (a responsibility I had when I previously worked for Boston Scientific and St Jude Medical prior to working at UBS).Start date -8/18/2025.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-05-04
S63 Uniform Securities Agent State Law Examination 2017-10-02
  • S66 Uniform Combined State Law Examination
    2018-05-04
  • S63 Uniform Securities Agent State Law Examination
    2017-10-02
Other Names
  • Benjie Esguerra

View on SEC IAPD

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