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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NV | RA | APPROVED | 2023-09-11 |
| CA | RA | APPROVED | 2011-10-05 |
Branch Locations
251 South Lake Avenue 10Th Floor, Pasadena, CA 91101 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Pasadena | CA | 08/2016 | Present |
OKTA S.C. / 4801 WILSHIRE BLVD. #104C LOS ANGELES CA 90010 / ASSOCIATION (I.E., TRADE OR INDUSTRY, SPORT...) / SERVICES (BUSINESS, PROFESSIONAL, SUPPORT) / TRADE ASSOCIATION / MEMBER OF BOARD OF DIRECTORS / QUARTERLY BOARD MEETINGS / START DATE 01/01/2009.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-10-12 |
| S65 | Uniform Investment Adviser Law Examination | 2001-10-12 |
| S63 | Uniform Securities Agent State Law Examination | 1999-08-31 |
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