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Cody O'BRian Finley

Ubs Financial Services Inc.

Indian Wells, 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 2024-08-26
CA RA APPROVED 2020-08-11
  • TX RA
    APPROVED_RES
    Since 2024-08-26
  • CA RA
    APPROVED
    Since 2020-08-11

Branch Locations

75 280 Highway 111, Indian Wells, CA 92210 • 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 Indian Wells CA 10/2017 Present
Ameriprise Financial Services Palm Springs CA 05/2017 09/2017
No Anchovies Tucson AZ 01/2017 05/2017
University Of Arizona Tucson AZ 07/2015 12/2016
  • 10/2017 → Present
    Ubs Financial Services
    Indian Wells, CA
  • 05/2017 → 09/2017
    Ameriprise Financial Services
    Palm Springs, CA
  • 01/2017 → 05/2017
    No Anchovies
    Tucson, AZ
  • 07/2015 → 12/2016
    University Of Arizona
    Tucson, AZ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-08-11
  • S66 Uniform Combined State Law Examination
    2020-08-11
Other Names
  • Cody Obrian Finley
  • Cody Finley

View on SEC IAPD

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