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Donald Joseph Mazza

Ubs Financial Services Inc.

Palo Alto, 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 2021-10-23
  • CA RA
    APPROVED
    Since 2021-10-23

Branch Locations

305 Lytton Avenue, Palo Alto, CA 94301 • 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
E.K. Riley Investments, Llc Seattle WA 10/2018 01/2020
E.K. Riley Investments, Llc Seattle WA 04/2018 09/2018
Menlo Asset Management Menlo Park CA 04/2018 01/2020
City National Bank Burlingame CA 02/2017 04/2018
Comerica Bank Millbrae CA 08/2013 02/2017
Ubs Financial Services Inc Palo Alto CA 01/2020 Present
  • 10/2018 → 01/2020
    E.K. Riley Investments, Llc
    Seattle, WA
  • 04/2018 → 09/2018
    E.K. Riley Investments, Llc
    Seattle, WA
  • 04/2018 → 01/2020
    Menlo Asset Management
    Menlo Park, CA
  • 02/2017 → 04/2018
    City National Bank
    Burlingame, CA
  • 08/2013 → 02/2017
    Comerica Bank
    Millbrae, CA
  • 01/2020 → Present
    Ubs Financial Services Inc
    Palo Alto, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-06-18
  • S66 Uniform Combined State Law Examination
    2021-06-18
Other Names
  • Dj Mazza
  • Donald Mazza

View on SEC IAPD

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SIRMA M TZOUTZOVA
LARYSA P SMYKOVSKAYA
CARL WONG
ALISON JONES
AAYUSH KUMAR
JEFFREY MARKS
MARIE WREAKS

Other Offices

STRATEGIC ADVISERS LLC · PALO ALTO, CA
CITIGROUP GLOBAL MARKETS INC. · Palo Alto, CA
DCVC · PALO ALTO, CA
DCVC BIO · PALO ALTO, CA
AMERIPRISE FINANCIAL SERVICES, LLC · Palo Alto, CA
WELLS FARGO CLEARING SERVICES, LLC · PALO ALTO, CA
WELLS FARGO CLEARING SERVICES, LLC · PALO ALTO, CA
WELLS FARGO CLEARING SERVICES, LLC · PALO ALTO, CA

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