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Jose Mari Cortez Asuncion

Ubs Financial Services Inc.

Worthington, OH

Weehawken, NJ

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2021-09-07
  • OH RA
    APPROVED
    Since 2021-09-07

Branch Locations

Worthington, OH • United States

1200 Harbor Boulevard, Weehawken, NJ 07086 • 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
J.P. Morgan Securities Llc Columbus OH 10/2012 08/2021
Captain Rick'S Scuba Diving Columbus OH 08/2014 11/2017
Ubs Weehawken NJ 08/2021 Present
  • 10/2012 → 08/2021
    J.P. Morgan Securities Llc
    Columbus, OH
  • 08/2014 → 11/2017
    Captain Rick'S Scuba Diving
    Columbus, OH
  • 08/2021 → Present
    Ubs
    Weehawken, NJ
Previous Registrations
  • 2012-10-01 → 2021-08-21
    J.P. Morgan Securities Llc
    Columbus, OH
    Columbus, OH
    Columbus, OH
    New York, NY
  • 2006-03-21 → 2012-10-01
    Chase Investment Services Corp.
    Columbus, OH
    Columbus, OH
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-03-20
  • S66 Uniform Combined State Law Examination
    2006-03-20
Other Names
  • Josemari Cortez Asuncion
  • Jose Mari Cortez Asuncion
  • Jose Mari C Asuncion

View on SEC IAPD

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