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Jim Simon Kottoor

Ubs Financial Services Inc.

Manhattan Beach, CA

El Segundo, CA

Brea, CA

Seal Beach, CA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NV RA APPROVED 2023-08-07
CA RA APPROVED 2013-05-07
  • NV RA
    APPROVED
    Since 2023-08-07
  • CA RA
    APPROVED
    Since 2013-05-07

Branch Locations

Manhattan Beach, CA • United States

2121 Rosecrans Avenue Suite 1300, El Segundo, CA 90245 • United States

135 S. State College Blvd Suite 650, Brea, CA 92821 • United States

3030 Old Ranch Pkwy Suite 300, Seal Beach, CA 90740 • 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. Newport Beach CA 11/2018 06/2022
Ubs Financial Services Inc El Segundo CA 06/2022 12/2024
Ubs Financial Services Inc. El Segundo CA 01/2025 Present
Ubs Financial Services Inc Long Beach CA 05/2015 11/2018
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-04-09
S63 Uniform Securities Agent State Law Examination 2001-10-10
  • S65 Uniform Investment Adviser Law Examination
    2013-04-09
  • S63 Uniform Securities Agent State Law Examination
    2001-10-10

View on SEC IAPD

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VICTORIA ANN WILK
ARCADIA BERJONNEAU KEANE

Other Offices

BEACH CITIES WEALTH MANAGEMENT, LLC · MANHATTAN BEACH, CA
ACIES INVESTMENTS MANAGEMENT, LLC · MANHATTAN BEACH, CA
WALLENDER, TIMOTHY JOSEPH · MANHATTAN BEACH, CA
LPL FINANCIAL LLC · MANHATTAN BEACH, CA
MUTUAL ADVISORS, LLC · Manhattan Beach, CA
J.P. MORGAN SECURITIES LLC · MANHATTAN BEACH, CA
CURRENT EQUITY PARTNERS, LLC · MANHATTAN BEACH, CA
EPIC FUNDS · MANHATTAN BEACH, CA

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