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Joseph John Velez

Ubs Financial Services Inc.

Los Angeles, CA

Beverly Hills, 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 2022-08-12
CA RA APPROVED 2019-07-09
  • TX RA
    APPROVED_RES
    Since 2022-08-12
  • CA RA
    APPROVED
    Since 2019-07-09

Branch Locations

Los Angeles, CA • United States

131 South Rodeo Drive Suite 300, Beverly Hills, CA 90212 • 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
Loyola Marymount University Los Angeles CA 08/2014 05/2018
Lmu Controller's Office Los Angeles CA 08/2016 01/2018
Ubs Financial Services Inc. Beverly Hills CA 09/2017 Present
  • 08/2014 → 05/2018
    Loyola Marymount University
    Los Angeles, CA
  • 08/2016 → 01/2018
    Lmu Controller's Office
    Los Angeles, CA
  • 09/2017 → Present
    Ubs Financial Services Inc.
    Beverly Hills, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-07-09
  • S66 Uniform Combined State Law Examination
    2019-07-09

View on SEC IAPD

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