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Jodie Lu

Ubs Financial Services Inc.

Los Angeles, CA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2019-08-19
  • CA RA
    APPROVED
    Since 2019-08-19

Branch Locations

2000 Avenue Of The Stars 12Th Floor South, Los Angeles, CA 90067 • 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
Goldman Sachs 10,000 Small Businesses Long Beach CA 06/2016 08/2017
Ubs Financial Services Inc. San Francisco CA 02/2018 08/2018
Education San Jose, Santa Monica, Long Beach CA 08/2007 07/2017
Unemployment Long Beach CA 09/2017 01/2018
Ubs Financial Services Inc. San Francisco CA 09/2018 08/2021
Ubs Financial Services Inc. Los Angeles CA 08/2021 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-08-19
S63 Uniform Securities Agent State Law Examination 2019-04-08
  • S65 Uniform Investment Adviser Law Examination
    2019-08-19
  • S63 Uniform Securities Agent State Law Examination
    2019-04-08

View on SEC IAPD

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