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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2015-08-03 |
| CA | RA | APPROVED | 1999-05-18 |
Branch Locations
2121 Rosecrans Avenue Suite 1300, El Segundo, CA 90245 • United States
Manhattan Beach, CA • United States
222 E. Carrillo St., Suite 106, Santa Barbara, CA 93101 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Beverly Hills | CA | 02/1999 | Present |
1) Name of Business: Providence TrinityCare Hospice Foundation./ Address; 5315 Torrance Blvd., Suite B1 TorranceCalifornia United States 90503./ Investment Related: No./ Nature: ? Finance Committee Members will provide oversight of the finances of the Providence TrinityCare Hospice Foundation, including both immediate operations and longer-term activities alongside the treasurer./ Role: Advisor or advisory group member if advice given may influence an officer/board./ Duty: ? Finance Committee Members will provide oversight of the finances of the Providence TrinityCare Hospice Foundation, including both immediate operations and longer-term activities alongside the treasurer./ Start Date: 7/31/2023./ Time Required: NA.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-05-07 |
| S63 | Uniform Securities Agent State Law Examination | 1999-04-27 |
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